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.
IRS posts PPACA employer mandate draft
By Allison BellRegulators hope to keep the "shared responsibility" rules from eliminating full-time employees.
December 27, 2012
Will the DOL Finally Show that Fiduciary Advice Is Better Business?Cornerstone of new proposal is expected to be substantial economic analysis.
December 27, 2012
Major Wirehouses Hit by FINRA for Lobbyist PaymentsFINRA announced Thursday that it had sanctioned five firms for fees paid to a lobbyist.
December 21, 2012
What’s All the Fuss About Schapiro?By the time you read this, Elisse Walter (at least temporarily) has replaced Mary Schapiro as chairman of the SEC.
December 21, 2012
The Jaws of DefeatTaking time out over the holidays to reflect on the past year has become one of my favorite exercises.
December 20, 2012
SEC, FINRA Enforcement Roundup: Allianz, TheStreet ChargedAmong recent enforcement actions taken by the SEC were charges against Allianz for violations of the Foreign Corrupt Practices Act that resulted in penalties of more than $12.3 million; against a Connecticut-based advisor for telling clients it was investing in the same collateralized debt obligations it recommended for them; against...
December 19, 2012
Washington regulation: 6 things to look for in 2013From a redefined fiduciary standard to the SIFI question, big changes are ahead over the next 12 months.