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.
The Client Newsletter: Canned or Customized?
By Gil WeinreichThe client newsletter costs money and time to produce, but fail to put it out and you have dispensed with a valuable communication tool.
March 04, 2013
FINRA fines Ameriprise $750,000The fine relates to a prior enforcement action FINRA levied against a former Ameriprise registered representative.
March 04, 2013
FINRA fines Ameriprise $750,000The fine relates to a prior enforcement action FINRA levied against a former Ameriprise registered representative.
March 04, 2013
SEC issues public comment request on fiduciary ruleNearly a year after saying it would, the SEC on Friday published its request for public comment on its rule to put brokers under a fiduciary mandate.
March 04, 2013
FINRA Slaps Ameriprise for Rep’s Wire Transfer FraudFINRA said Ameriprise and its clearing firm missed several red flags, including transfers to accounts in the broker's name.
March 01, 2013
What if the IRS pays an exchange plan late?HHS has completed a big batch of benefit and payment regulations.
March 01, 2013
IRS: How should we treat the new health insurer "fee"?The answer could affect carrier efforts to recoup the amount from policyholders, officials say.
February 28, 2013
Big business on sequester: ZzzzNo one seems to care about sequestration; have we become numb to it after five years fraught with fiscal calamities?