Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
SEC Halts IRA Scam That Cost Investors $22 Million
By Melanie WaddellUtah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to funnel client money into high-risk investments, the SEC says.
April 29, 2014
Andrew Ceresney, SEC’s Enforcer: The 2014 IA 25 ProfileAndrew Ceresney says keeping up with the increased complexity of wrongdoing is among the biggest challenges for the enforcement division at the SEC.
April 28, 2014
Stop IRA Rollovers ‘Immediately,’ Expert Warns After Tax RulingIRA guru Ed Slott is warning advisors to notify their clients of the recent tax court ruling that says IRA holders can do only one IRA-to-IRA rollover per year, which runs counter to the IRS interpretation of the tax code.
April 28, 2014
Fiduciary Debate Turns to Impact on InvestorsThe latest debate over whether the SEC and the Department of Labor should issue fiduciary rules this year recently turned to whether investors could be harmed by DOL's rulemaking, or harmed by the lack of such a rulemaking by the SEC.
April 28, 2014
Profiling: How to Get Your Client’s StoryProfiling is an extremely powerful selling tool, maybe the most powerful sales tool you will ever use. So be sure you ask the right questions.
April 28, 2014
The IA 25 for 2014This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
April 28, 2014
IRS announces 2015 HSA limitsMaximum contributions to health savings accounts will jump slightly next year.
April 28, 2014
IRS announces 2015 HSA limitsMaximum contributions to health savings accounts will jump slightly next year.