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.
PPACA climbs IRS vulnerability list
By Allison BellThe health law is still trailing data security but jumped ahead of compliance and modernization.
November 12, 2013
FINRA Expands BrokerCheckInvestors can now search both the BrokerCheck and IARD record of any securities professional or firm directly on the FINRA home page.
November 11, 2013
Beware a Fiduciary ‘Wild West’: ASPPA ChiefASPPA CEO Brian Graff lays out two hot issues to watch: DOL's coming fiduciary proposal and the growing specter of state-run retirement plans.
November 11, 2013
Annuity regulation, Pt. 2: More from NAFA’s Kim O’Brien on what’s nextIn this exclusive video, the head of NAFA discusses a uniform fiduciary standard and the role annuities could play in solving Americas underfunded pension crisis.
November 11, 2013
IRS gives double tax benefits of health FSAs a boostUnlike 401(k) or IRA contributions, funds contributed to an FSA are never taxed if they are used to pay for qualified medical expenses.
November 11, 2013
IRS gives double tax benefits of health FSAs a boostUnlike 401(k) or IRA contributions, funds contributed to an FSA are never taxed if they are used to pay for qualified medical expenses.
November 07, 2013
SEC Enforcement: RBS Securities to Pay $150M for Misleading InvestorsAmong other recent SEC actions was an emergency freeze order in a scheme involving phony investments in New Zealand dialysis clinics.
November 06, 2013
SEC’s White: ‘Unnoticed’ Enforcement Actions Can Have Big ImpactWhile CEO takedowns score big headlines, SEC chief Mary Jo White says, "literally thousands" of unsung cases are no less meaningful to keeping markets functional.