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.
SEC Enforcement: Court Stops Muni Bond Offer Seen as Fraudulent
By Marlene Y. SatterIn other actions, former brokers were charged with illegally trading on a tip about a $1.2 billion acquisition by IBM.
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.
June 25, 2014
Funding bill hits IRS PPACA implementationThe full House Appropriations Committee approved the measure today.
June 25, 2014
Funding bill hits IRS PPACA implementationThe full House Appropriations Committee approved the measure today.
June 25, 2014
House Appropriations OKs Smaller SEC Budget Boost Despite ComplaintsCommittee votes to give the SEC a $50 million budget boost, not the $350 million requested by Obama.
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.