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.
8 holiday giving tips your clients will appreciate
By Tom NawrockiThere are simple rules that can maximize the benefit to the clients intended beneficiary and clients financial well-being.
December 18, 2013
IRS limits PPACA group tax credit reliefEmployers can get the credit without a SHOP plan -- in Washington state and parts of Wisconsin.
December 18, 2013
IRS limits PPACA group tax credit reliefEmployers can get the credit without a SHOP plan -- in Washington state and parts of Wisconsin.
December 18, 2013
SEC, FINRA Enforcement: Swiss-Based Firm Bilks U.S. Investors of $11MMeanwhile, FINRA fined Deutsche Bank Securities for deficiencies in its lending program while Argentus Securities was censured and fined on AML failures.
December 17, 2013
At Last Minute, IRS Gives Gay Couples Health Care Tax BreakThe government says legally married same-sex couples can claim tax benefits this year if theyre enrolled in an FSA, HSA or cafeteria plan.
December 17, 2013
SEC Levied Record $3.4B in Fines in 2013But brokers and advisors were hit with fewer enforcement actions this year, the SEC says.
December 17, 2013
FINRA Creates Investor Issues CommitteeThe committee will advise senior FINRA staffers on proposed rulemaking and policy initiatives. Barbara Roper is one member.
December 17, 2013
On the Third Hand: TrustWhat does the NSA have to do with HealthCare.gov? Plenty.