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.
House Appropriations to Hold Wednesday Vote on SEC Budget
By Melanie WaddellSEC Chairwoman White told lawmakers Obama's $1.7 billion budget would permit the SEC to increase advisor exams.
June 13, 2014
Insurers wait for PPACA comp cap regulationsOne lawyer has written that there's no obvious way to get around the $500,000 deductibility limit.
June 13, 2014
SEC, FINRA Enforcement: SEC Freezes Assets of Fugitive Investor in Fake Gold BidIn other actions, a judge denied Houston hedge fund manager George Jarkesy Jr.'s plea to dismiss the SEC's fraud case against him.
June 11, 2014
Watchdog: We're grading IRS PPACA dataAn inspector general is about to report on premium tax credit data accuracy.
June 10, 2014
SEC Should Shift Existing Funding to Boost Advisor Exams, IAA SaysThe advisor advocacy group is concerned about the potential disadvantages" of third-party exams compared to SEC examinations, says President David Tittsworth.
June 09, 2014
Rep. McHenry Hopes to Restart Crowdfunding With New BillProposed legislation is designed to increase amounts to be raised by crowdfunding and cut red tape while retaining investor protections.
June 06, 2014
SEC Fines Dark Pool Operator Liquidnet for Misusing Customer InfoSEC says New York-based brokerage firm Liquidnet Inc. improperly used subscribers confidential trading information in marketing its services.
June 06, 2014
LTCI Watch: Macro risksMaybe that's the time bomb hiding in plain sight in a Goldman Sachs Asset Management report.