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.
Banks' Bad Rap Dampens Advisor Recruiting: SIFMA Panel
By Michael S. FischerHow to overcome bad publicity and recruit a new crop of advisors was a hot topic in a breakout session at SIFMA's annual meeting.
November 12, 2013
PPACA climbs IRS vulnerability listThe health law is still trailing data security but jumped ahead of compliance and modernization.
November 12, 2013
PPACA climbs IRS vulnerability listThe health law is still trailing data security but jumped ahead of compliance and modernization.
November 12, 2013
SEC Uses First-of-Its-Kind Deferred Prosecution AgreementDeal signals that "the agency will be pushing harder to proactively encourage people to come forward with evidence," lawyer Steve Crimmins says.
November 12, 2013
FINRA Expands BrokerCheckInvestors can now search both the BrokerCheck and IARD record of any securities professional or firm directly on the FINRA home page.
November 11, 2013
Beware a Fiduciary ‘Wild West’: ASPPA ChiefASPPA CEO Brian Graff lays out two hot issues to watch: DOL's coming fiduciary proposal and the growing specter of state-run retirement plans.
November 11, 2013
Annuity regulation, Pt. 2: More from NAFA’s Kim O’Brien on what’s nextIn this exclusive video, the head of NAFA discusses a uniform fiduciary standard and the role annuities could play in solving Americas underfunded pension crisis.
November 11, 2013
IRS gives double tax benefits of health FSAs a boostUnlike 401(k) or IRA contributions, funds contributed to an FSA are never taxed if they are used to pay for qualified medical expenses.