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.
AALU speakers probe court, IRS rulings buffeting the industry
By Warren S. HerschProducers must stay in touch with divorce attorneys and clients to ensure that beneficiary designations are up-to-date.
May 06, 2014
AIG preparing for federal regulationAIG is making moves as a SIFI to bulk up its capital.
May 06, 2014
AIG preparing for federal regulationAIG is making moves as a SIFI to bulk up its capital.
May 06, 2014
FINRA Fines Morgan Stanley $5M Over IPO Share SalesFINRA said Morgan Stanley had supervisory failures in initial public offerings for Facebook, Yelp and 81 others.
May 05, 2014
IA 25 2014: The Regulators and Advocates—SlideshowWhos more influential than the people crafting the laws advisors and brokers have to work by?
May 04, 2014
Alan Blinder Offers Stark Economic View; Sees Fed Rate BindPrinceton economist and former Fed vice chairman Alan Blinder talks at IMCA conference about whats next for the Fed and his take on regulation.
May 02, 2014
IRS completes PPACA tax form rulesThe earliest possible initial monthly reporting date is June 15, 2014.
May 02, 2014
IRS completes PPACA tax form rulesThe earliest possible initial monthly reporting date is June 15, 2014.