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 Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’
By Melanie WaddellThe Securities and Exchange Commission is very sensitive to preserving money market funds as it proceeds to the adopting phase of a rulemaking.
March 31, 2014
SEC Ripped Over Analyses of Rules by Mercatus StudyBefore retooling its analyses in 2012, the SEC often ignored important alternatives that should be obvious to an expert agency, says a Mercatus Center paper.
March 31, 2014
Lead generation and terminating pension plansIts easy to use FreeERISAs 5310 database of terminating pension plans to generate leads in your market.
March 31, 2014
Lead generation and terminating pension plansIts easy to use FreeERISAs 5310 database of terminating pension plans to generate leads in your market.
March 27, 2014
FINRA Enforcement: Arbitrator Dismissed for Phony CredentialsIn addition, both J.P. Morgan Clearing and J.P. Morgan Securities were hit by FINRA with censures and fines.
March 27, 2014
FINRA Examining Trading in New Puerto Rico BondsThe Financial Industry Regulatory Authority said its examining trading in the $3.5 billion of general-obligation bonds that Puerto Rico sold this month.
March 26, 2014
IRS to Treat Bitcoin as Property for Tax PurposesBitcoin users, who have operated largely without government oversight, now have to think about tax implications and reporting.
March 25, 2014
New York's Regulation 60 needs a makeoverNew York state's residents would be better off with a revised reg permitting a speedier application process.