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.
White House Getting Involved With DOL Fiduciary Redraft
By Melanie WaddellThe White Houses National Economic Council will be performing industry outreach regarding the DOL's fiduciary redraft, according to industry officials.
June 30, 2014
High Court issues narrow Hobby Lobby birth control rulingClosely held corporations have religious rights for contraceptives but maybe not for vaccinations.
June 30, 2014
FINRA Unveils Trade Prices in $1.5 Trillion Private-Bond MarketInvestors have access to public price information in the $1.5 trillion market for privately sold corporate bonds beginning today.
June 27, 2014
Watchdog Suing for Easier Access to Nonprofits’ Tax FormsA judge ruled against the IRS' motion to dismiss a lawsuit by an advocacy group aiming to make nonprofits' Form 990s more accessible.
June 27, 2014
SEC Enforcement: Court Stops Muni Bond Offer Seen as FraudulentIn other actions, former brokers were charged with illegally trading on a tip about a $1.2 billion acquisition by IBM.
June 26, 2014
Tightened Conflict Mineral Regulations Could Pinch Unwitting InvestorsThe island of Jersey has recently made headlines over alleged failures to take action against purveyors of blood gold.
June 26, 2014
IRS tough on small-group health tax credit timeAn employer may qualify for considerably less than two years.
June 26, 2014
‘New Round’ of Fiduciary Feedback May Be Needed: SEC Markets ChiefDevelopment of a list of fiduciary rulemaking possibilities "is still in process, SEC's Stephen Luparello said.