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.
Scant progress on jobs for disabled Americans
By Jennifer C. KerrJust 18 percent of the disabled population is employed, down from 20 percent four years ago.
March 21, 2013
Maine wants 10-year guarantee on Medicaid expansionUnder PPACA, the government picks up 100 percent of the cost the first three years, and 90 percent after that.
March 21, 2013
Boustany asks IRS about PPACA roleThe lawmaker is suggesting that the agency has understated health law staffing needs.
March 21, 2013
SEC Enforcement Roundup: CR Intrinsic Slapped With Record Insider Trading FineThe SEC settlement by CR Intrinsic was for $600 million, the largest ever in an insider trading case; meanwhile, a financier was charged in a scam involving pre-IPO Facebook stock.
March 20, 2013
7 Tips to Avoid SEC Compliance Audits When MarketingCompliance expert Nancy Lininger offers rules of thumb on avoiding the flags that SEC auditors are looking for in marketing materials.
March 19, 2013
Feds draft group plan waiting period, exclusion regsWhat if you lost your leg before you joined your employer's plan?
March 19, 2013
Feds draft group plan waiting period, exclusion regsWhat if you lost your leg before you joined your employer's plan?
March 19, 2013
NASAA’s Advocacy Agenda: Advisor Regulation, Fiduciary Duty, ArbitrationOur agenda calls for Congress to ensure all investors are protected when receiving individualized investment advice. This revolves around two key issues.