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.
Meet IRS Form 1095-A
By Allison BellExchanges 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.
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.
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.
June 27, 2013
SEC, FINRA Enforcement: StateTrust Investments Fined for Corporate Bond FraudAmong recent enforcement actions, FINRA ordered StateTrust Investments to pay more than $1.3 million for excessive markups and markdowns in corporate bond transactions.
June 27, 2013
SEC Nominees Support Changing ‘Neither Admit Nor Deny’ PolicyPresident Obamas two SEC commissioner nominees voiced their support during their confirmation hearing Thursday for requiring admissions of guilt in some settlements.