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.
CMS Sets Drug Program Data Rules
By Staff WriterA 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
Managing compliance responsibilitiesRegulatory compliance is a crucial part of doing business. Here are some suggestions for efficiently managing compliance responsibilities: Devote resources up-front to compliance efforts. Be...
May 28, 2008
Where can advisors and reps expect close regulatory scrutiny?Under qualified for oversight? Fines continue to rain down on firms for wrongfully using unregistered executives in key compliance supervisory positions. Research disclosure? FINRA...
May 27, 2008
DOL's Priorities for 2008 and BeyondThe Department of Labor (DOL) will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive, warned Alan Lebowitz, a DOL official,...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 21, 2008
High-Level Roundtable Discusses Likelihood Of Federal RegulationA high level, Washington roundtable attended by the majority whip of the Senate, the chair of the House Financial Services Committee, a Congressman, 28 state ...
May 21, 2008
High-Level Roundtable Discusses Likelihood Of Federal RegulationA high level, Washington roundtable attended by the majority whip of the Senate, the chair of the House Financial Services Committee, a Congressman, 28 state ...