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 Advances Bonus Disclosure Plan for Brokers
By Melanie WaddellFINRA fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.
January 03, 2013
SEC, FINRA Enforcement Roundup: Eli Lilly to Pay $29M to Settle Foreign Bribery ChargesThe SEC recently charged Eli Lilly for violations of the FCPA and barred an Arizona-based fund manager from the industry after the funds collapse. FINRA ordered Pruco Securities to pay $10.7 million.
January 02, 2013
BDs Bear Burden of New SEC Rules on Lost Security HoldersThe SEC approval, which was unanimous, requires broker-dealers to conduct searches for holders of securities with whom they have lost contact.
January 01, 2013
Federal court lets N.Y. benefits case move forwardFederal courts should put off looking at employer challenges to the birth control benefits mandate, because the U.S. Department of Health and Human Services (HHS) and other departments will be releasing new regulations designed to address religious employers objections by August 1, 2013, according to lawyers for the government.
January 01, 2013
IRS posts PPACA employer mandate draftRegulators hope to keep the "shared responsibility" rules from eliminating full-time employees.
January 01, 2013
IRS posts PPACA employer mandate draftRegulators hope to keep the "shared responsibility" rules from eliminating full-time employees.
December 31, 2012
Federal court lets N.Y. benefits case move forwardFederal courts should put off looking at employer challenges to the birth control benefits mandate, because the U.S. Department of Health and Human Services (HHS) and other departments will be releasing new regulations designed to address religious employers objections by August 1, 2013, according to lawyers for the government.
December 28, 2012
Texas dentist service firms blast regulation billOne dentist questioned whether the state has enough oversight over the organizations.