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.
The U.S. government is surprisingly cool with Bitcoin
By staff WriterFed Chairman Ben Bernanke says the virtual currency Bitcoin may hold long-term promise.
November 27, 2013
IRS sets health tax rulesEAPs are exempt, at least for now. Dental plans will have to pay up.
November 27, 2013
IRS sets health tax rulesEAPs are exempt, at least for now. Dental plans will have to pay up.
November 27, 2013
SEC Enforcement: ‘Trader’ Bilks Elderly Investors to Pay MortgageOther recent targets of SEC actions were an oil services company fined for bribing foreign officials and a penny-stock financier.
November 26, 2013
Workers with disabilities may be hot commodityA job fair organizer notes that federal contractors face new hiring goals.
November 26, 2013
2 Houston Firms Accused of Illicit Trading in Client AccountsCEO John Bott II is one of the four accused executives, whose custody-rule-breaking trades reaped millions, according to the SEC.
November 26, 2013
Will the SEC create ‘two kinds’ of fiduciaries?The debate still rages on about what Dodd-Frank told the SEC it could or could not do in writing a fiduciary rule for brokers.
November 26, 2013
SEC investor advisory committee approves fiduciary, user-fee plansFiduciary recommendations sailed through Roper's committee, but user-fee plan drew concerns; White says both are 'very important.'