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.
LTCI Watch: Mrs. Smith
By Allison BellIf only her kids could have an easier tax form.
September 12, 2014
SEC Creates New Office of Risk AssessmentSEC created new Office of Risk Assessment to help provide data-driven risk assessment tools and models to support a wide range of SEC activities.
September 11, 2014
FINRA Warns About Investing in Nigeria, Lebanon, Other Frontier MarketsFINRA issued an investor alert, saying these markets have heightened risks.
September 11, 2014
House Delays Vote on Bill to Fund Government, SECVote delayed to discuss anti-ISIS funding for Syrian rebels; SEC's White tells Senate of the "immediate and pressing" need for funds for advisor exams.
September 10, 2014
Manufacturers to IRS: Interpret the PPACA Cadillac plan taxThe provision is set to take effect in 2018.
September 10, 2014
Manufacturers to IRS: Interpret the PPACA Cadillac plan taxThe provision is set to take effect in 2018.
September 09, 2014
SEC Busts Hedge Fund’s Fake Research, Soft Dollar ScamThe SEC charged a Minneapolis-based firm with bilking investors out of more than $1 million using fake research expenses and fees.
September 09, 2014
SEC’s White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come FirstChairwoman Mary Jo White told senators Tuesday that a fiduciary options list is a "high priority," but legally mandated rulemakings must take precedence.