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.
As NASAA’s New President, I’m Starting a Campaign for ‘Smarter Regulation’
By Andrea SeidtThe trick is to balance the legitimate interests of investors with the legitimate goals of entrepreneurs and to adopt policies that are fair to both.
November 14, 2013
SEC, FINRA Enforcement: Firm Slapped for Ignoring Red FlagsIn other enforcement news, four accountants were booted for faulty audits, and three brokers were found guilty of churning.
November 14, 2013
SEC: Don’t Use ‘Protected’ or ‘Guaranteed’ in Fund NamesThe regulatory body is heightening its scrutiny of funds that include the terms.
November 14, 2013
Boston Fed gearing up for top tier regulation of PruAnd abroad, the Fed will tread lightly among its older international insurance oversight brethren at IAIS for now, according to sources.
November 14, 2013
Boston Fed gearing up for top tier regulation of PruAnd abroad, the Fed will tread lightly among its older international insurance oversight brethren at IAIS for now, according to sources.
November 14, 2013
Banks' Bad Rap Dampens Advisor Recruiting: SIFMA PanelHow to overcome bad publicity and recruit a new crop of advisors was a hot topic in a breakout session at SIFMA's annual meeting.
November 13, 2013
No Firm Too Small to Escape Scrutiny, SEC Chief Tells SIFMASEC Chairwoman Mary Jo White spoke at SIFMA's annual meeting about admissions of guilt, the SEC's credibility problem and Volcker rule progress.
November 12, 2013
IRS Gives Double Tax Benefits of Health FSAs a BoostBecause many clients are anticipating higher out-of-pocket health expenses in 2014 under the Affordable Care Act, FSAs are likely to become more popular than ever.