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.
AIG seen picking up the tab if Greenberg wins $25 billion bailout suit
By Andrew ZajacWill AIG pay if Greenberg wins? The U.S. government may demand it.
November 12, 2014
IRS Clarifies IRA-to-IRA Rollover GuidanceMeanwhile, Ed Slott said rollovers were a "minefield" of "rules and traps" and named five areas where advisors commonly slip up.
November 11, 2014
SEC’s Enforcement Division ‘Here to Stay’ in Muni Bond MarketIts been a year of many firsts for enforcement and regulation in the municipal bond market, which has previously received little attention, says SECs Ceresney.
November 11, 2014
Are Changes Coming to FINRA Exams?At SIFMA annual, CEO Richard Ketchum says FINRA is anonymously surveying brokers about its exam program.
November 10, 2014
SEC’s White to Provide ‘Clarity’ on Her Fiduciary StanceWhere does SEC Chairwoman Mary Jo White stand on a uniform fiduciary rule? No one knows, but that may soon change.
November 07, 2014
Investors Back More Broker Regulations: FINRA SurveyNearly three-quarters of investors support more regulations to safeguard them from broker misconduct, an online survey from FINRA found.
November 07, 2014
SEC, DOL Enforcement: Ex-Mayor Fined for Misleading Movie Studio InvestorsMeanwhile, two Canadian citizens were charged with conducting an international microcap fraud scheme.
November 04, 2014
The PPACA skinny plan war: 4 ways it could burn youYou can't be too rich or too thin -- but maybe minimum value plan benefits can be too thin.