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.
You Can Leave Your Hat(s) On: Two Fiduciary Standards?
By Bob ClarkCreating two fiduciary standards would do nothing to reduce the current state of investor confusion; the real losers would be retail investors.
December 03, 2013
Audit: PPACA tax credits vulnerable to fraudFraud may not be detectable prior to the issuance of tax return refunds, said the Treasury inspector general for tax administration.
December 03, 2013
Audit: PPACA tax credits vulnerable to fraudFraud may not be detectable prior to the issuance of tax return refunds, said the Treasury inspector general for tax administration.
December 03, 2013
FINRA Bars Brokers for Fleecing Elderly WidowThe two brokers took $300,000 from a widow with diminished mental capacity, FINRA said.
December 02, 2013
IRS watchdog finds PPACA problemsInvestigators tell the premium tax credit team to mind security configuration settings.
December 02, 2013
The U.S. government is surprisingly cool with BitcoinFed Chairman Ben Bernanke says the virtual currency Bitcoin may hold long-term promise.
December 02, 2013
5 Big Regulatory Changes Coming in 2014Want to prepare your practice for potential changes in the year ahead? Keep your eye on these five areas.
November 27, 2013
SEC Proxy Advisory Roundtable to Discuss Conflicts of Interest, CompetitionFormer SEC Chairman Harvey Pitt will be among the panelists at SEC's Dec. 5 proxy advisory firm roundtable.