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.
The Price of Everything: What’s the Value of Sound Advice?
By Bob ClarkThe SEC Regulatory Accountability Act is yet another attempt by the securities industry to shift attention away from the consumer protections of requiring brokers to put the interests of their clients ahead of their own, by focusing solely on the costs of doing so.
May 20, 2013
GOP hopes IRS scandal will snag PPACAThe head of IRS PPACA implementation efforts was the head of the tax-exempt division.
May 17, 2013
House Passes SEC Cost-Benefit BillPlanning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.
May 17, 2013
Giachetti: Don’t Listen to the Kool-Aid Compliance SalesmenIf you like your compliance talk spiced up with frankness and salty language, Tom Giachetti of Stark & Stark is your man.
May 17, 2013
Schwab Backs Off on Class-Action Ban—for NowCharles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.
May 17, 2013
House chairman sees IRS errors as part of patternA top House Republican charges that the IRS's tougher scrutiny of conservative groups seems part of a broader pattern of intimidation and cover-ups by the White House.