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.
New York's Regulation 60 needs a makeover
By Warren S. HerschNew York state's residents would be better off with a revised reg permitting a speedier application process.
March 25, 2014
HHS birth control mandate reaches Supreme CourtKathleen Sebelius ruled that the PPACA preventive services package had to include contraceptives.
March 24, 2014
Hobby Lobby: The magic caseHobby Lobby -- so entertaining the Supreme Court will let it run an extra half hour.
March 24, 2014
Hobby Lobby: The magic caseHobby Lobby -- so entertaining the Supreme Court will let it run an extra half hour.
March 24, 2014
SEC OKs FINRA’s New Supervisory RulesThe SEC has approved FINRA's new consolidated rules governing supervision as well as guidance on email reviews.
March 24, 2014
LPL Financial Fined $950,000 by FINRA Over Alt SalesLPL's sale of alternative investments, including nontraded REITs, violated concentration limit guidelines, FINRA said.
March 22, 2014
IRS Criminal Investigation Unit Tagged More Tax Criminals in 2013The IRS significantly increased enforcement actions against tax criminals and saw a robust rise in convictions, according to its annual report.
March 21, 2014
BDs Blast FINRA’s CARDS Plan on Privacy RiskFSI and other broker-dealer trade groups say FINRA's plan to collect vast amounts of account data comes with "serious privacy" concerns and significant costs.