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.
GOP hopes IRS scandal will snag PPACA
By Ricardo Alonso-ZaldivarThe head of IRS PPACA implementation efforts was the head of the tax-exempt division.
May 17, 2013
House Passes SEC Cost-Benefit BillPlanning groups are at odds over a bill that passed the House on Friday requiring the SEC to conduct more rigorous cost-benefit analyses before making rules.
May 17, 2013
Giachetti: Don’t Listen to the Kool-Aid Compliance SalesmenIf you like your compliance talk spiced up with frankness and salty language, Tom Giachetti of Stark & Stark is your man.
May 17, 2013
Schwab Backs Off on Class-Action Ban—for NowCharles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.
May 17, 2013
House chairman sees IRS errors as part of patternA 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 17, 2013
House chairman sees IRS errors as part of patternA 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
Dale Brown: The 2013 IA 25 Extended ProfileWhen reminded that this is the seventh year that hes been named to the IA 25, Dale Brown was quick to give kudos to his entire team, noting that the Financial Services Institutes success doesnt hinge on his abilities alone.
May 16, 2013
Stop Denying Investor Rights: End Forced Abitration NowFor too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.