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.
New IRS chief talks PPACA fraud
By Allison BellKoskinen argues that the design of the tax credit program minimizes the risk.
February 04, 2014
IRS Grants Reprieve for Late Portability ElectionsThe IRS has provided a limited reprieve for clients who didn't take advantage of the portability of a first-to-die spouses unused estate tax exemption.
February 04, 2014
FINRA Plan Seeks ‘Clearer Picture’ of Nonlisted REITsThe plan would require BDs to factor in fees and commissions when determining the share price.
February 03, 2014
IRS expects more than 11 million PPACA contactsWatchdogs say the agency will need 949 more full-time equivalents to handle health law work.
February 03, 2014
IRS expects more than 11 million PPACA contactsWatchdogs say the agency will need 949 more full-time equivalents to handle health law work.
February 03, 2014
Will SEC Spend 5 More Years Mulling Fiduciary Rule?The SEC said Monday that it would continue to analyze over the next five years whether to write a fiduciary rule for brokers.
January 31, 2014
SEC to keep eye on advisors ‘highly successful’ at rolloversSEC and FINRA give their reasons why rollovers and sales to seniors need heightened scrutiny.
January 31, 2014
SEC to keep eye on advisors ‘highly successful’ at rolloversSEC and FINRA give their reasons why rollovers and sales to seniors need heightened scrutiny.