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.
DOL pressing forward on fiduciary
By Melanie WaddellWhile the DOL may succeed in getting a revamped fiduciary plan to OMB, its likely to get stalled there.
August 28, 2013
Labor rules to boost employment for disabledFederal contractors and subcontractors account for 20 percent of the workforce.
August 28, 2013
Labor rules to boost employment for disabledFederal contractors and subcontractors account for 20 percent of the workforce.
August 28, 2013
The Odd, Mixed Messages From FINRA on Risk Tolerance and SuitabilityFINRAs new, and unusual, definition of risk tolerance and the inconsistency between that definition and the views expressed on the SROs website are not helpful to advisors and investors.
August 27, 2013
IRS completes health penalty rulesA day of coverage per month for nine months counts. Medicaid for pregnant women might not.
August 27, 2013
SEC’s White Sets Sept. 12 Meeting With Exchanges on Nasdaq GlitchThe meeting will address the price processing system that failed, along with other critical market systems.
August 27, 2013
MetLife offers Basel III alternativeWill a bill aiming to tweak the Collins Amendment actually go anywhere?
August 27, 2013
MetLife offers Basel III alternativeWill a bill aiming to tweak the Collins Amendment actually go anywhere?