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.
FINRA Fines TD Ameritrade Clearing $1.2M for Options Trading Violations
By Melanie WaddellTimely and complete information "about large options positions is necessary to conduct market surveillance and to protect the integrity of the marketplace," FINRA says.
November 05, 2013
Exchange plan prices may be lowA Web broker says affordable prices could cut federal subsidy spending.
November 04, 2013
SAC Capital Pleads Guilty, Will Pay Record $1.2 Billion PenaltyThe penalty is on top of the $616 million in insider trading fines that SAC agreed to pay earlier this year.
November 01, 2013
Fed formally applies to IAIS for membershipThe Fed lays out the full scope of its breadth as a central bank in its application to the International Association of Insurance Supervisors.
November 01, 2013
Treasury, IRS Change FSA Use-or-Lose RuleTreasury Secretary Lew says the change is a "common-sense solution" to help people pay for health care.
October 31, 2013
IRS eases FSA use-it-or-lose-it ruleA worker can roll over up to $500 in unused balance.
October 31, 2013
IRS eases FSA use-it-or-lose-it ruleA worker can roll over up to $500 in unused balance.