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.
SEC Nominees Vote Tabled Due to Lack of Quorum
By Melanie WaddellMeanwhile, the Senate confirmed Richard Cordray as CFPB director.
July 12, 2013
NAIFA Responds: Fiduciary Costs Would Hurt Reps, ClientsWhile Bob Clark thinks we here at NAIFA are "wacky," we are very serious about protecting our members and their clients from potentially harmful regulations.
July 12, 2013
Broker Bonus Plan: Death by Delay?FINRAs decision to postpone considering a rule to require that brokers recruitment bonuses be disclosed when they switch firms has one industry attorney speculating the rule may be on the chopping block.
July 11, 2013
IRS officially postpones employer mandateOfficials are hoping employers will report coverage information voluntarily in 2014.
July 11, 2013
IRS officially postpones employer mandateOfficials are hoping employers will report coverage information voluntarily in 2014.
July 11, 2013
SEC, FINRA Enforcement: Radio Personality Fined Over ‘Buckets of Money’Among other recent enforcement actions was an account freeze in an insider trading case involving a leather bag maker turned biomed developer.
July 10, 2013
Why we need smart regulationNAIFA's CEO responds to blogger Bob Clark with her thoughts on the increasingly heated fiduciary standard debate.
July 10, 2013
Why we need smart regulationNAIFA's CEO responds to blogger Bob Clark with her thoughts on the increasingly heated fiduciary standard debate.