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.
IRS sets health tax rules
By Allison BellEAPs are exempt, at least for now. Dental plans will have to pay up.
November 26, 2013
Workers with disabilities may be hot commodityA job fair organizer notes that federal contractors face new hiring goals.
November 26, 2013
2 Houston Firms Accused of Illicit Trading in Client AccountsCEO John Bott II is one of the four accused executives, whose custody-rule-breaking trades reaped millions, according to the SEC.
November 26, 2013
Will the SEC create ‘two kinds’ of fiduciaries?The debate still rages on about what Dodd-Frank told the SEC it could or could not do in writing a fiduciary rule for brokers.
November 26, 2013
SEC investor advisory committee approves fiduciary, user-fee plansFiduciary recommendations sailed through Roper's committee, but user-fee plan drew concerns; White says both are 'very important.'
November 26, 2013
Ken Fisher Is Right About Demise of RIAs...and WrongWe can only hope that Mr. Fishers vision does not occur. Yet I foresee that fee-only and other true fiduciary advisors will still exist.
November 26, 2013
Time to Review Your Privacy Policy, RIAs, and Check Yourself OutIn part two of our year-end compliance review, reminders to update your privacy policy and accurately monitor your AUM. Don't forget about your clients.
November 25, 2013
DOL Fiduciary Redraft Likely Out by MayA proposed regulation of the DOL's fiduciary rule could be out by April or May, said Brian Graff, executive director of ASPPA and NAPA.