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.
House chairman sees IRS errors as part of pattern
By Alan Fram, Stephen OhlemacherA 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.
May 16, 2013
SEC, FINRA Enforcement Roundup: Husband and Wife Divert Funds to Buy HomeThe SEC filed charges against a husband and wife, who are executives of China-based RINO International Corp., and FINRA fined and censured Deutsche Bank Securities for reporting failures.
May 16, 2013
House bill to require SEC, DOL fiduciary collaborationSEC Chairwoman White noted the DOL would ultimately make its own independent decision regarding its fiduciary rule.
May 16, 2013
House bill to require SEC, DOL fiduciary collaborationSEC Chairwoman White noted the DOL would ultimately make its own independent decision regarding its fiduciary rule.
May 16, 2013
Obama fires IRS commissionerPresident Obama ousted the acting commissioner of the IRS late Wednesday amid an outcry over the improper targeting of tea party groups.
May 16, 2013
Obama fires IRS commissionerPresident Obama ousted the acting commissioner of the IRS late Wednesday amid an outcry over the improper targeting of tea party groups.
May 16, 2013
FSI Backs Bill Requiring SEC Cost-Benefit AnalysisH.R. 1062 would require SEC to conduct cost-benefit analyses before instituting rules. The White House opposes the measure.
May 16, 2013
House Bill to Require SEC, DOL Fiduciary CollaborationBut SECs Mary Jo White maintains SEC and DOL are "two different agencies"; says more exam "coverage" is needed for advisors.