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, FINRA Enforcement Roundup: City in California Charged With Fraud
By Marlene Y. SatterAmong recent enforcement actions, the SEC went after the city of Victorville, Calif., for defrauding municipal bond investors. In addition, FINRA took action against John Thomas Financial for intimidation of its own staff.
May 02, 2013
New York tobacco regulations light up public health debateCan New York laws possibly stop rebellious teens?
May 01, 2013
FDA: Plan B will be available over the counter for women 15 and overThe decision will only have an impact should the Department of Justice appeal an April 5 ruling.
May 01, 2013
IRS drafts large-group minimum value rulesLarge and self-funded groups would not have to provide all "essential health benefits."
May 01, 2013
IRS drafts large-group minimum value rulesLarge and self-funded groups would not have to provide all "essential health benefits."
April 30, 2013
Mary Jo White: The 2013 IA 25 Extended ProfileAll eyes will be on new SEC Chairwoman Mary Jo White as she takes the helm and decides which rulemakings to tackle first.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.
April 30, 2013
FPA makes two big pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, says FPA President Michael Branham.