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 gives double tax benefits of health FSAs a boost
By Robert Bloink, William H. ByrnesUnlike 401(k) or IRA contributions, funds contributed to an FSA are never taxed if they are used to pay for qualified medical expenses.
November 06, 2013
FINRA Fines TD Ameritrade Clearing $1.2M for Options Trading ViolationsTimely and complete information "about large options positions is necessary to conduct market surveillance and to protect the integrity of the marketplace," FINRA says.
November 05, 2013
Former SEC Chairman Levitt: Mary Jo White a ‘Rock Star’ After SAC PleaInsider trading is still "pervasive," Arthur Levitt says, and he wouldnt have Steven Cohen as a client.
November 05, 2013
Annuity regulation: NAFA’s Kim O’Brien on the coming stormIn this exclusive video, the head of NAFA discusses tax reform and its possible impact on annuities and life insurance.
November 05, 2013
Exchange plan prices may be lowA Web broker says affordable prices could cut federal subsidy spending.
November 04, 2013
SAC Capital Pleads Guilty, Will Pay Record $1.2 Billion PenaltyThe penalty is on top of the $616 million in insider trading fines that SAC agreed to pay earlier this year.
November 01, 2013
Fed formally applies to IAIS for membershipThe Fed lays out the full scope of its breadth as a central bank in its application to the International Association of Insurance Supervisors.
November 01, 2013
Treasury, IRS Change FSA Use-or-Lose RuleTreasury Secretary Lew says the change is a "common-sense solution" to help people pay for health care.