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.
IRS issues tax rules for married same-sex couples
By Martin CrutsingerOfficials talk about how the rules apply to group health plans and cafeteria plans.
August 30, 2013
SEC Rewards Whistleblowers Who Halted Sham Hedge FundThe SEC announced Friday that it gave the three whistleblowers more than $25,000 combined and will pay them more as assets are collected from the sham manager.
August 30, 2013
SEC Charges San Diego Advisor With Cherry-Picking, Soft Dollar SchemeThe SEC charged a firm and its president with steering winning trades to favored clients and misusing soft dollars.
August 29, 2013
SEC urges advisors to review disaster plansRegulators say advisors should update contingency plans so they can get back to work more quickly following a natural disaster such as Superstorm Sandy.
August 29, 2013
SEC urges advisors to review disaster plansRegulators say advisors should update contingency plans so they can get back to work more quickly following a natural disaster such as Superstorm Sandy.
August 29, 2013
Feds eye PPACA storm shelter rulesA risk corridor program is supposed to shield insurers against big cost projection errors.
August 29, 2013
Feds eye PPACA storm shelter rulesA risk corridor program is supposed to shield insurers against big cost projection errors.
August 29, 2013
Compliance Pros’ Pay, Budgets Getting ChoppedNRS survey finds that compliance pros are getting paid less while being tasked with increasing amounts of non-compliance-related work.