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 eye PPACA storm shelter rules
By Allison BellA risk corridor program is supposed to shield insurers against big cost projection errors.
August 29, 2013
DOL pressing forward on fiduciaryWhile the DOL may succeed in getting a revamped fiduciary plan to OMB, its likely to get stalled there.
August 29, 2013
Disaster Recovery Plans Part of Fiduciary Duty, SEC SaysThe SEC is alerting advisors that its part of their fiduciary responsibility to ensure they have proper business continuity and disaster recovery plans in place.
August 28, 2013
SEC Enforcement: Scheme Loots IRAs to Fund Bounty Hunter TV Show, Bridal ShopThe SEC halted a Ponzi scheme targeting IRA funds, issued a stop order against the IPO of an L.A. company and reported an arrest in Spain in the "London Whale" case.
August 28, 2013
Labor rules to boost employment for disabledFederal contractors and subcontractors account for 20 percent of the workforce.
August 28, 2013
Labor rules to boost employment for disabledFederal contractors and subcontractors account for 20 percent of the workforce.
August 28, 2013
The Odd, Mixed Messages From FINRA on Risk Tolerance and SuitabilityFINRAs new, and unusual, definition of risk tolerance and the inconsistency between that definition and the views expressed on the SROs website are not helpful to advisors and investors.
August 27, 2013
IRS completes health penalty rulesA day of coverage per month for nine months counts. Medicaid for pregnant women might not.