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.
Nuns take contraceptive mandate to High Court
By Greg StohrThe Christian Brothers Employee Benefit Trust, the administrator, serves about 500 religious groups.
December 27, 2013
FINRA Floats System to Automatically Flag Problems With Broker Sales PracticesRegulator seeks comments on proposed CARDS system that would gather data from firms and send to FINRA before conducting onsite exams.
December 26, 2013
What Goes Up: 4 Trends That Will Affect Advisors in 2014What likely won't happen: another 25% rise in the stock market. What likely will happen: further advances in advisor tecchnology, a bigger focus on Obamacare and regulation. As for the CFP Board...
December 23, 2013
Advisors, Gear Up for a ‘Difficult Filing Season’Tax experts warned advisors to be aware of the 57 federal tax provisions that expired at year end, which include the deduction for state and local sales tax, the above-the-line deduction for tuition and tax-free distributions from IRAs for charitable purposes.
December 23, 2013
DOL Seen as First Mover on FiduciaryThe SEC will let the DOL move first in releasing its fiduciary redraft, which the DOL said wont come until August, two industry officials predicted.
December 23, 2013
How to Establish a Culture of ComplianceSEC Chairwoman Whites felt and feared and Giuliani-style approach comments indicate that regulators are getting aggressive. Be ready.
December 20, 2013
FINRA Bars Advisor Over Nontraded REIT SalesGary Chackman worked in the business for 22 years, including time with LPL Financial, AXA and Summit.
December 20, 2013
8 holiday giving tips your clients will appreciateThere are simple rules that can maximize the benefit to the clients intended beneficiary and clients financial well-being.