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.
IRS Issues Rollover Guidance
By Dan BermanThe IRS has issued guidance for employers whose 401(k) plans offer Roth IRA accounts.
February 21, 2014
SEC’s White: Fiduciary Rule’s Fate to Be Decided This YearThe agency this year will make a threshold decision on whether to proceed with a uniform fiduciary standard, SEC Chairwoman Mary Jo White said.
February 20, 2014
SEC proposes stricter rules on brokersBrokers would be required to trade at the most favorable prices for clients in the muni bond market.
February 20, 2014
SEC proposes stricter rules on brokersBrokers would be required to trade at the most favorable prices for clients in the muni bond market.
February 19, 2014
SEC Gains Power to Take Profit Made From Insider TradingAppeals court says SEC can collect illegal proceeds from money managers even when their firms got all the profit.
February 13, 2014
FINRA OKs Plans on BrokerCheck Link, Expungement and Arbitrator DefinitionFINRA's board on Thursday approved three rule proposals including one to limit how many investor complaints a broker can have expunged from BrokerCheck.
February 13, 2014
SEC, FINRA Enforcement: Ponzi Schemer Caught Diverting Victims’ Settlement MoneyIn other actions, FINRA censured and fined a Dayton, Ohio-based firm and its principal on compliance failures.
February 12, 2014
NASAA’s Fleming Named SEC’s First Investor AdvocateRick Fleming, a lawyer, becomes the first person to lead the Office of the Investor Advocate, which was created under Dodd-Frank.