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 Names Asset Management Enforcement Co-Chiefs, Legislative Director
By James J. GreenJulie Riewe, Marshall Sprung to jointly run unit in enforcement division, while Timothy Henseler will direct Office of Legislative and Intergovernmental Affairs.
July 01, 2013
Meet IRS Form 1095-AExchanges will use it to share PPACA premium tax credit information with taxpayers.
July 01, 2013
Meet IRS Form 1095-AExchanges will use it to share PPACA premium tax credit information with taxpayers.
July 01, 2013
SEC comments muddy the waters in fiduciary standard debateThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.
July 01, 2013
SEC comments muddy the waters in fiduciary standard debateThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.
June 28, 2013
Edie Windsor is owed $638,000 plus interestBut what will she have to pay in lawyer fees?
June 28, 2013
Dear SEC Chairwoman: About That Pesky Fiduciary Issue...By taking its investor advocacy role seriously, the SEC will better facilitate capital formation that is so important to our economy by empowering investors to make better investment decisions.
June 27, 2013
The end of DOMA: Married in the eyes of the IRSDOMA's demise will bring a lot of changes, especially when it comes to taxes.