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.
Federal regulation: 5 things to expect in 2014
By Arthur D. PostalThe year ahead will bring rising interest rates, tax reform and sorely needed changes to Healthcare.gov.
December 12, 2013
SEC, FINRA Enforcement: Muni Firm Fined Over Sports Ticket GiftingMeanwhile, FINRA censured and fined Wells Fargo Advisors over undetected unauthorized fund transfers, and the SEC froze assets in an oil and gas scheme.
December 12, 2013
Pre-Crisis CDOs Haunt Merrill With $131.8M SEC FineMerrill Lynch failed to inform investors that a hedge fund firm shorting the CDOs had significant influence over the selection of their collateral.
December 10, 2013
Republicans cut off IRS nominee hearingIf confirmed, John Koskinen would oversee the PPACA premium tax credit administration.
December 10, 2013
Republicans cut off IRS nominee hearingIf confirmed, John Koskinen would oversee the PPACA premium tax credit administration.
December 10, 2013
The State of Fiduciary After 1,640 Days: Time for a Reset?Fiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
December 10, 2013
Feds want 10 years for fraud that preyed on dyingAdvisors used personal information from terminally ill people to purchase bonds and annuities that would pay out when a person died.
December 10, 2013
SEC Issues ‘Bad Actor’ Guidance Under Rule 506When is the issuer in a private offering required to determine whether bad actor disqualification applies?