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.
SEC Issues Guide on Muni Advisor Registration, Extends Compliance Deadline
By Melanie WaddellAmong other matters, the guidance clarifies that advisors using swaps or security-based swaps in municipal entity portfolios do not have to register as municipal advisors.
January 10, 2014
9 Nasty Enforcement Cases of 2013Nobody was safe from advisors gone bad: not widows, not NFL stars, not even Marines.
January 09, 2014
Never-Examined Advisors Top SEC’s 2014 Exam Priorities ListLike FINRA, SEC also plans to scrutinize IRA rollovers this year.
January 09, 2014
MSRB Floats Muni Advisor RuleThe proposed rule strikes an appropriate balance" and is "workable for municipal advisors of all sizes, says MSRB.
January 08, 2014
Most Fed Officials Backed Tapering of QEThey saw an improving job market coupled with diminishing economic benefits to further bond buying, FOMC meeting minutes show.
January 07, 2014
IRS trips up nonprofitsThe final rule applies to nonprofit plans and many of the Blues.
January 07, 2014
IRS trips up nonprofitsThe final rule applies to nonprofit plans and many of the Blues.
January 07, 2014
House Committee Promises ‘Vigorous’ Oversight of Yellen’s FedThe House Financial Services Committee plans to hold a series of "aggressive" hearings this year on how to reform the central bank.