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.
How to Establish a Culture of Compliance
By Thomas D. GiachettiSEC Chairwoman Whites felt and feared and Giuliani-style approach comments indicate that regulators are getting aggressive. Be ready.
December 20, 2013
8 holiday giving tips your clients will appreciateThere are simple rules that can maximize the benefit to the clients intended beneficiary and clients financial well-being.
December 19, 2013
Senators Prod FINRA for Broker Arb Expungement DataFINRA CEO Richard Ketchum has until Jan. 6 to tell senators how FINRA plans to address findings that it granted nearly all expungement requests.
December 18, 2013
Much of 2013’s Important News Arose From What Didn’t HappenOne of the big things that failed to happen this year was a fiduciary standard imposed on brokers by either the SEC or the DOL.
December 18, 2013
IRS limits PPACA group tax credit reliefEmployers can get the credit without a SHOP plan -- in Washington state and parts of Wisconsin.
December 18, 2013
IRS limits PPACA group tax credit reliefEmployers can get the credit without a SHOP plan -- in Washington state and parts of Wisconsin.
December 18, 2013
SEC, FINRA Enforcement: Swiss-Based Firm Bilks U.S. Investors of $11MMeanwhile, FINRA fined Deutsche Bank Securities for deficiencies in its lending program while Argentus Securities was censured and fined on AML failures.
December 17, 2013
At Last Minute, IRS Gives Gay Couples Health Care Tax BreakThe government says legally married same-sex couples can claim tax benefits this year if theyre enrolled in an FSA, HSA or cafeteria plan.