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.
SEC nabs advisors in Georgia, Michigan
By Harry LewA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 03, 2013
Does the PPACA delay signal the end of Obamacare? Not reallyWhile PPACA's critics herald the employer mandate delay as the first step in getting rid of the law, legal experts disagree.
July 02, 2013
Prudential balks at SIFI designationThe company's decision was different than AIG and GE Capital, who accepted the designation as systemically significant.
July 02, 2013
Prudential balks at SIFI designationThe company's decision was different than AIG and GE Capital, who accepted the designation as systemically significant.
July 02, 2013
Federal rule extends subsidies for college studentsCollege students will still be eligible for federal health care subsidies I think.
July 02, 2013
SEC Names Asset Management Enforcement Co-Chiefs, Legislative DirectorJulie Riewe, Marshall Sprung to jointly run unit in enforcement division, while Timothy Henseler will direct Office of Legislative and Intergovernmental Affairs.
July 01, 2013
Incompatibility Is StandardIt is critical the [fiduciary] standards of conduct put out by the SEC and DOL applicable to investment professionals be compatible, Bill Lowe, president of Sammons Retirement Solutions, told the SEC in his June 4 comment letter.
July 01, 2013
Judging the IRSA wave of scandal has enveloped the U.S. government. The administration—at what level of seniority is not yet known—appears to have used the…