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 role in Obamacare
By Staff WriterHow big of a role does the IRS play in PPACA? A pretty big role for both sides.
May 24, 2013
House measure to slow fiduciary rulemaking poses little threatA draft requiring SEC, DOL to work together on a rule is merely a reminder of the importance of a cost-benefit analysis, says Thompson of fi360.
May 24, 2013
House measure to slow fiduciary rulemaking poses little threatA draft requiring SEC, DOL to work together on a rule is merely a reminder of the importance of a cost-benefit analysis, says Thompson of fi360.
May 24, 2013
FINRA on Record Enforcement Pace in ’13, Enforcement Chief SaysFINRA enforcement continues to have a strong caseload, with a record number of cases on the same pace this year as last, said Brad Bennett, FINRAs chief of enforcement.
May 23, 2013
House Measure to Slow Fiduciary Rulemaking Poses Little Threat: Industry OfficialsA discussion draft introduced Thursday designed to stymie efforts by the SEC and DOL to craft fiduciary rules will prove to be of little consequence, fi360's Duane Thompson and other experts said.
May 23, 2013
Benefits educators prepare for a new worldScrambling to track ACA changes? What if you had to create the ACA change seminar?
May 23, 2013
Benefits educators prepare for a new worldScrambling to track ACA changes? What if you had to create the ACA change seminar?
May 23, 2013
SEC, FINRA Enforcement: Father, Son Cherry-Picking Scheme; South Miami in Muni-Bond FraudRecent enforcement actions include charges against a father and son for making undeclared trades and then cherry-picking the profitable ones, and charges against the city of South Miami for defrauding investors on muni bonds.