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.
FINRA Seeks Second Round of Comments on Markups, Commissions Plan
By Melanie WaddellAfter being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.
February 01, 2013
Birth control benefits: The feds try againRegulators would still not let for-profit employers opt out of the mandate.
February 01, 2013
SEC Names Acting, Deputy Directors of EnforcementThe SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SECs Boston Regional Office, has been named acting deputy director.
January 31, 2013
SEC Enforcement Roundup: $300M Resort Scam Leads to Rum-Soaked InvestmentAmong other enforcement actions this week, the SEC charged five former real estate executives in a $300 million Ponzi scheme involving phony investments in resorts. The spoils went toward boats, planes and a rum distillery.
January 31, 2013
Feds map PPACA coverage rule limitsThe minimum essential coverage and shared responsibility provisions include exemptions.
January 31, 2013
Feds map PPACA coverage rule limitsThe minimum essential coverage and shared responsibility provisions include exemptions.
January 30, 2013
Increased Regulation: ‘Just Deal With It’You know, Im very direct, said Summit Financial CEO Marshall Leeds, who spoke with AdvisorOne about football, regulation and CEOs' priorities.
January 29, 2013
Industry girds for DOL fiduciary ruleAgents and brokers continue to fear that the new regulation, if finalized, would eliminate commissions and "price out" many American IRA holders from affordable financial advice.