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 Scandal Has Charities Worrying About ‘Collateral Damage’
By Michael S. FischerCharitable nonprofits worry that investigations revving up in Washington over the IRS' targeting of conservative groups will further delay applications for tax-exempt status and impede their activities.
May 10, 2013
SEC, FINRA: Beware pension, settlement income stream dealsIn a joint alert, investors were warned about what to do before buying or selling pension or settlement income streams.
May 10, 2013
SEC, FINRA: Beware pension, settlement income stream dealsIn a joint alert, investors were warned about what to do before buying or selling pension or settlement income streams.
May 10, 2013
IRS: Blues shouldn't put quality in MLR tax calculationsThe proposed regulations would affect use of a special nonprofit plan tax deduction.
May 10, 2013
IRS: Blues shouldn't put quality in MLR tax calculationsThe proposed regulations would affect use of a special nonprofit plan tax deduction.
May 10, 2013
SEC, FINRA: Beware Pension, Settlement Income Stream DealsIn a joint alert issued Thursday, the SEC and FINRA provide investors with information about what to do before buying or selling such rights and urge them to proceed with caution.
May 09, 2013
SEC Enforcement Roundup: Harrisburg, Pa., Charged With Securities FraudThe city was charged with making misleading public statements. Meanwhile, the SEC charged four traders with bribing a Venezuelan official.
May 09, 2013
NASAA Joins FINRA in Fight Against Schwab Class-Action RulingState securities regulators are throwing their support behind FINRA in its battle to overturn a decision by its hearing panel that allowed Charles Schwab & Co. to block customer participation in class-action lawsuits.