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.
Financial Services Execs Stressed Over New Regulations
By Michael S. FischerExecutives worry that changes taking effect this year are distracting attention from core business activities and potentially hindering growth, SunGard found.
February 10, 2014
Midsize firms get more time on PPACA mandateEmployers with fewer than 100 workers wont have to provide health insurance until 2016 under PPACA, as the administration said it would again delay a key requirement of the health law.
February 07, 2014
FINRA reconsiders BrokerCheck Web link planAn official at the Financial Services Institute argues the proposal withdrawn last year was "unworkable."
February 07, 2014
FINRA to Reconsider BrokerCheck Web Link PlanFINRA board also plans to consider next week definitions of nonpublic and public arbitrators as well as an expungement rule.
February 07, 2014
FINRA Plans Cybersecurity Exam SweepFINRA has issued an exam letter saying it will scrutinize BDs' handling of cyber threats, fulfilling its promise to zero in on IT security.
February 06, 2014
House panel hears defense of PPACA’s risk corridorA law professor says the PPACA risk corridor program could turn a profit.
February 06, 2014
State v. federal regulation debate a ‘relic,’ says McRaithMcRaith made the assessment as House lawmakers pressed him on the FIO's next steps toward federalizing regulation of the insurance industry.
February 06, 2014
SEC, DOL Enforcement: Camelot Manager Charged With Stealing $9M From ClientsMeanwhile, the SEC charges two college professors in a naked short selling scheme and suspends trading in 255 shell companies to fight microcap fraud.