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.
FINRA Issues Communications Notice
By Staff WriterThe Financial Industry Regulatory Authority, Washington, says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A ...
June 01, 2008
CMS Sets Drug Program Data RulesA new final regulation could help the Center for Medicare & Medicaid Services learn whether ready access to prescriptions really cuts overall health care costs.The ...
June 01, 2008
A Long, Hot Regulatory SummerGet ready for a number of regulatory changes to hit home this summer. The SEC is set to release proposed rules soon regarding credit ratings...
June 01, 2008
NEWS & PRODUCTS, JUNE 2008A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 stands, according to a ruling issued by the National Adjudicatory...
May 29, 2008
CMS Sets Drug Program Data RulesA new final regulation could help the Center for Medicare & Medicaid Services learn whether ready access to prescriptions really cuts overall health care costs.The ...
May 29, 2008
CMS Sets Drug Program Data RulesA new final regulation could help the Center for Medicare & Medicaid Services learn whether ready access to prescriptions really cuts overall health care costs.The ...
May 28, 2008
Potential compliance landminesEven for advisors who stick to the ethical high road, it doesn't hurt to know where potential compliance landmines lurk. Here's a look at several...
May 28, 2008
A big blow to "shareholder rights" advocatesDo you want a greater say in how the companies you invest in are run, or do you trust management to make the tough decisions...