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.
GAO Suggests Requiring RIA Advice for Accredited Investors
By Melanie WaddellA GAO study recommends that the SEC require more liquid investments in private offerings or the use of an RIA for guidance as preferred means of protecting accredited investors.
July 17, 2013
Most PPACA data hub testing doneVendors have finished testing most of the CMS-IRS part of the exchange brain.
July 17, 2013
Most PPACA data hub testing doneVendors have finished testing most of the CMS-IRS part of the exchange brain.
July 17, 2013
Expat Americans, Foreign Banks Heave Under IRS PressureFATCA, newly delayed until July 2014, will require foreign financial institutions to report on U.S. citizens holdings or pay a steep withholding tax.
July 17, 2013
PwC: Regulations, economy top concerns of Canadian insurersThe report notes that Canadian insurance executives are more concerned than their foreign counterparts about the liabilities of insurance products.
July 17, 2013
PwC: Regulations, economy top concerns of Canadian insurersThe report notes that Canadian insurance executives are more concerned than their foreign counterparts about the liabilities of insurance products.
July 16, 2013
SEC’s Structured Products Chief to ExitThe SEC announced Tuesday that Kenneth Lench, chief of the Enforcement Divisions Structured and New Products Unit, will leave the agency for the private sector at the end of July.
July 16, 2013
The problem of DIY fecal transplantsThe tract for treating Clostridium difficle is constipated thanks to the FDA.