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 scandals threaten funding for PPACA
By Stephen OhlemacherIf the agency does get the requested bump in budget, the big question is this: How will they spend it?
June 17, 2013
SEC, FINRA, State Exam Execs Lay Out PrioritiesPriorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
June 14, 2013
Senior credentials in regulatory spotlight… againWhat's behind the acronyms? Regulators want to know.
June 13, 2013
80 Years of Fiduciary in 15 Minutes: TDAI Fiduciary SummitA tall order given to Rutgers University law professor Arthur Laby.
June 13, 2013
Businessman sued over alleged misuse of pensionDividend checks from an annuity that should have been paid to the pension fund were instead deposited in corporate accounts.
June 13, 2013
IRS posts advice on new research feePCORI is supposed to find out which treatments give the best bang for the buck.
June 13, 2013
IRS posts advice on new research feePCORI is supposed to find out which treatments give the best bang for the buck.
June 11, 2013
CBOE to Pay $6M Fine to SEC Over Regulatory ‘Breakdowns’The CBOE was charged with various violations, including a failure to enforce or even fully comprehend rules to prevent abusive short selling.