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.
The Best SEC Speech Ever
By Jonathan WeilAn SEC lifer retires, and blasts the agency's 'broken-windows' strategy and revolving door to Wall St.
April 09, 2014
Stop IRA rollovers ‘immediately,’ expert warns after tax rulingA tax court ruling that only one IRA rollover is allowed per year runs counter to the IRS's interpretation of the tax code.
April 09, 2014
Stop IRA rollovers ‘immediately,’ expert warns after tax rulingA tax court ruling that only one IRA rollover is allowed per year runs counter to the IRS's interpretation of the tax code.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 09, 2014
FINRA launches retrospective review of rulesThe regulator seeks comments on the effectiveness and efficiency of its rules on communications with the public, and on gifts, gratuities and noncash compensation.
April 08, 2014
Did March Mark a Tipping Point in Fiduciary Rulemaking?The DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.
April 08, 2014
SEC Moves to Block $40M YouTube-Based Ponzi SchemeInvestors put money into "virtual concierge machines," which were supposed to operate like ATMs and be placed nationwide.
April 08, 2014
FINRA Launches Retrospective Review of RulesFINRA is looking at rules on communications with the public and noncash compensation to see whether they are meeting their "investor protection objectives."