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.
FINRA reconsiders BrokerCheck Web link plan
By Melanie WaddellAn official at the Financial Services Institute argues the proposal withdrawn last year was "unworkable."
February 06, 2014
House panel hears defense of PPACA’s risk corridorA law professor says the PPACA risk corridor program could turn a profit.
February 06, 2014
State v. federal regulation debate a ‘relic,’ says McRaithMcRaith made the assessment as House lawmakers pressed him on the FIO's next steps toward federalizing regulation of the insurance industry.
February 06, 2014
SEC, DOL Enforcement: Camelot Manager Charged With Stealing $9M From ClientsMeanwhile, the SEC charges two college professors in a naked short selling scheme and suspends trading in 255 shell companies to fight microcap fraud.
February 05, 2014
New IRS chief talks PPACA fraudKoskinen argues that the design of the tax credit program minimizes the risk.
February 05, 2014
New IRS chief talks PPACA fraudKoskinen argues that the design of the tax credit program minimizes the risk.
February 05, 2014
FINRA Wallops Brown Bros. Harriman With Its Biggest-Ever AML FineFINRA fined Brown Brothers Harriman & Co. $8 million for failing to monitor trades of 6 billion penny stock shares.
February 04, 2014
IRS Grants Reprieve for Late Portability ElectionsThe IRS has provided a limited reprieve for clients who didn't take advantage of the portability of a first-to-die spouses unused estate tax exemption.