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.
The PPACA skinny plan war: 4 ways it could burn you
By Allison BellYou can't be too rich or too thin -- but maybe minimum value plan benefits can be too thin.
October 31, 2014
IRS cuts LTCI deduction limit increases for someConsumers ages 40 to 59 and over 70 will get a smaller boost in 2015.
October 31, 2014
Dodd-Frank Rulemaking Like ‘Shoveling Manure’: SEC’s GallagherThe SEC won the Dodd-Frank booby prize, and we are still paying the price over four years later, said SEC Commissioner Daniel Gallagher.
October 30, 2014
FINRA Names Berry Head of ArbitrationFINRA announced Thursday that Richard W. Berry will replace Linda Fienberg as head of the self-regulators dispute resolution.
October 30, 2014
SEC Enforcement: Layne Christensen Fined $5M on Bribery ChargeMeanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.
October 29, 2014
Coaches Corner: 5 Steps to Creating Systems for Your PracticeWant to build a more effective team and a more scalable business? Follow these steps in creating a system.
October 29, 2014
SEC Charges Sands Brothers With Custody Rule ViolationsSEC charged Sands Brothers and three of its top officials, including its CCO, with failing to provide timely statements on the firms private funds.
October 29, 2014
House Dems call for SEC crackdown on corporate anti-whistleblower practicesHouse Democrats say overly restrictive nondisclosure agreements, for example, threaten agencys whistleblower program.