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.
NAIFA Responds: Fiduciary Costs Would Hurt Reps, Clients
By Dr. Susan B. Waters, CAEWhile Bob Clark thinks we here at NAIFA are "wacky," we are very serious about protecting our members and their clients from potentially harmful regulations.
July 11, 2013
IRS officially postpones employer mandateOfficials are hoping employers will report coverage information voluntarily in 2014.
July 11, 2013
SEC, FINRA Enforcement: Radio Personality Fined Over ‘Buckets of Money’Among other recent enforcement actions was an account freeze in an insider trading case involving a leather bag maker turned biomed developer.
July 10, 2013
Why we need smart regulationNAIFA's CEO responds to blogger Bob Clark with her thoughts on the increasingly heated fiduciary standard debate.
July 10, 2013
Why we need smart regulationNAIFA's CEO responds to blogger Bob Clark with her thoughts on the increasingly heated fiduciary standard debate.
July 10, 2013
SEC Lifts Ban on Hedge Fund AdvertisingThe new rule, approved by a 4-1 vote, was required by the JOBS Act. NASAA and ICI voiced their disappointment in the rule's lack of investor protections.
July 10, 2013
GOP-led House seeks to punish IRS with budget cutsThe agency's 2014 budget would be cut by $3 billion, or 24 percent below levels approved in March.
July 10, 2013
GOP-led House seeks to punish IRS with budget cutsThe agency's 2014 budget would be cut by $3 billion, or 24 percent below levels approved in March.