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 puts off PPACA discrimination testing
By Allison BellThe IRS started asking for comments on the rules in 2010.
January 16, 2014
Banned Stocks Held by SEC Employees Trigger Agency Ethics ReviewSEC attorneys are reviewing the stock holdings of about 3,400 employees after some New York staffers were found to own securities prohibited by ethics rules.
January 16, 2014
VP in Conflicts Office at J.P. Morgan Securities Barred for Leaking Inside InfoGutman had the keys to the kingdom through his position at J.P. Morgan as a gatekeeper with special access to material, nonpublic information, FINRA says.
January 15, 2014
Lawmakers: SEC Failed to Analyze Volcker Rule, Broke Federal LawA congressional hearing on Wednesday focused on the unintended consequences of the Volcker Rule.
January 14, 2014
Federal hiring of seriously disabled fallsBut people with "targeted disabilities" make up a bigger percentage of new hires.
January 14, 2014
DOL Fiduciary Plan Raises Concern of Democratic CoalitionThe 30 House Democrats' worries include limiting access to advice for low- and middle-income people.
January 14, 2014
More Advisor Exams? Not Under This SEC Budget, Advocates SayCFP Board, CFA and others say the SEC's pledge to examine more advisors will be tough to fulfill with only a $29 million increase.
January 13, 2014
IRS Scandals Fueled by Lack of Funds, Taxpayer Advocate SaysIn her annual report to Congress, Nina Olson calls for a taxpayer bill of rights that she says might have prevented the political targeting scandal.