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.
Feds protect HSA plans against PPACA fears
By Allison BellThe IRS blesses both the old preventive services rules and the new preventive services rules.
September 06, 2013
FINRA Fines On Track to Fall 41% This YearThe total dollar amount is projected to hit a three-year low, according to the law firm Sutherland Asbill and Brennan.
September 05, 2013
SEC, FINRA Enforcement: Money Manager Charged in Free-Riding SchemeAmong recent SEC actions were charges against a self-styled money manager for free-riding and fraud, while FINRA took on failures in WSPs and OATS compliance.
September 05, 2013
How RIAs Can Show SEC Examiners They Adequately Manage RiskWhen examiners from the SEC or the states come to visit, theyll want to know you take risk management seriously. Heres how to get started.
September 04, 2013
Starr, Greenberg: Bernanke must respond to questionsLawyers for Greenberg argue that they be allowed to question Bernanke about his role in the government's takeover of AIG.
September 04, 2013
September Surprise: Fiduciary Supporters Lobby the SECWith new leadership at the SEC, many questions remain unanswered about the Commissions fiduciary rulemaking. Maybe we'll get some answers during Fiduciary September.
September 04, 2013
House to examine SEC’s money-market fund planCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.
September 04, 2013
House to examine SEC’s money-market fund planCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.