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 Floats ‘Watered Down’ BrokerCheck, Broker Bonus Rules
By Melanie WaddellThe new broker bonus plan runs counter to the current industry debate over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
May 28, 2015
IRS posts Form 1094-B draftInsurers are supposed to use the form to submit health coverage information returns.
May 28, 2015
Talk of FINRA as Advisor SRO Rears Its Head AgainA Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
May 27, 2015
Canal Not the Only Growing Opportunity for PanamaTheres a lot going on in Panama these days, and the canal is just part of itthough a very large part indeed.
May 27, 2015
SEC should require political-spending reports, ex-chairs sayThey pointed to a record 1.2 million comment letters supporting a 2011 petition by a group of securities law professors as evidence that the agency should act.
May 27, 2015
SEC should require political-spending reports, ex-chairs sayThey pointed to a record 1.2 million comment letters supporting a 2011 petition by a group of securities law professors as evidence that the agency should act.
May 27, 2015
Taxpayers’ Private Data Stolen From IRS WebsiteIdentity thieves hack information of 104,000 taxpayers and net $50 million in fake refunds.
May 27, 2015
FINRA’s Ketchum Blasts DOL Fiduciary Plan; White House Says ‘Work With Us’FINRA CEO Richard Ketchum talked at the regulator's conference about what's wrong with the DOL plan and offered an alternative approach to putting customers first.