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.
Funding bill hits IRS PPACA implementation
By Allison BellThe full House Appropriations Committee approved the measure today.
June 24, 2014
SEC Imposes First Advisor Pay-to-Play FineThe SEC fined a Philadelphia firm for collecting advisory fees from public pension funds after a firm associate donated to political candidates.
June 23, 2014
Feds: 'Orientation' buys an employer PPACA mandate timeGetting to know a worker can extend the coverage-free period to 90 days plus a month.
June 23, 2014
FINRA Withdraws Broker Bonus PlanFINRA has scrapped its controversial recruitment compensation proposal but says it will file a revised plan later this year.
June 23, 2014
FINRA Levied $60M in Fines in 2013In FINRA's annual report, CEO Richard Ketchum also says that FINRA is pressing forward with its controversial CARDS data collection plan.
June 20, 2014
There Might Be a Lot of Insider TradingIn research reported by Andrew Ross Sorkin on options trading before merger announcements, everything you'd predict, if you were maximally cynical, the researchers found.
June 20, 2014
New once-per-year rollover rule Q&AThe Tax Court dropped a bombshell of a decision, reshaping the once-per-year rollover rule as we knew it.
June 20, 2014
New once-per-year rollover rule Q&AThe Tax Court dropped a bombshell of a decision, reshaping the once-per-year rollover rule as we knew it.