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.
New Hampshire House to vote on Medicaid expansion ban
By Associated PressGov. Hassan says expansion could cut the number of uninsured to 71,000, from 170,000.
March 11, 2013
As Dually Registered Advisors’ Assets Grow, SEC Zeros InJust as the SEC beefs up its oversight of dually registered advisors, new research from Cerulli Associates finds the dually registered channel is one of the fastest growing.
March 07, 2013
SEC, FINRA Enforcement Roundup: 31 NFL Players Bilked by Broker’s Casino DealFINRA and the SEC recently acted on issues that included the fleecing of 31 NFL players via high-risk casino securities and a rep who conducted a Ponzi scheme under his firms nose.
March 07, 2013
SRO Is Key to Boosting Advisor Exams: Former SEC Chief PittThe SEC cant handle examining advisors, Harvey Pitt said at the Investment Adviser Association conference.
March 07, 2013
Why IRA consolidation makes even more senseThis year, the Department of Labor is on a crusade to subject IRA accounts to an ERISA fiduciary standard.
March 07, 2013
Why IRA consolidation makes even more senseThis year, the Department of Labor is on a crusade to subject IRA accounts to an ERISA fiduciary standard.
March 07, 2013
For Tax Identity Thieves and Phishers, Business Is BoomingAccording to the National Taxpayer Advocates 2012 annual report to Congress, ID theft is mushrooming into a far bigger problem in the tax arena than many taxpayers may suspect.
March 06, 2013
FINRA’s Proposed Broker Recruitment Bonus Rule Makes Strange BedfellowsSIFMA and NAIFAs comment letters on FINRAs proposed rule on disclosing bonuses paid to brokers to switch BDs agree with me. Now Im worried.