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.
Nearly Half of U.S. AUM in Hands of ‘Red-Flagged’ Advisors: Report
By John SullivanAn increasingly litigious society makes it harder for investment advisors to maintain a spotless record.
September 05, 2012
Kicking SEC’s Fiduciary Efforts Back Into GearBarbara Roper of the CFA and others discussed ways to get the SEC to move forward on proposing a fiduciary rule on a conference call Wednesday.
September 05, 2012
Maine Sues for Medicaid WaiverThe state wants to exclude seniors in the Medicare Shared Savings Program and others.
September 05, 2012
Maine Sues for Medicaid WaiverThe state wants to exclude seniors in the Medicare Shared Savings Program and others.
September 04, 2012
FINRA Regulatory Head Luparello Leaving to Join D.C. Law FirmFINRA announced Tuesday that Vice Chairman Stephen Luparello, who has been at FINRA and the NASD for more than 16 years, is leaving to join the WilmerHale law firm in Washington.
September 04, 2012
IRS and PPACA: What's a Full-Time Employee?Employers can look 12 months back when classifying variable-hour or seasonal workers.
September 04, 2012
IRS and PPACA: What's a Full-Time Employee?Employers can look 12 months back when classifying variable-hour or seasonal workers.
September 04, 2012
NAPFA Elects Lauren Locker to Replace Ron Rhoades as ChairLocker, who founded her own New Jersey-based firm in 1992, is a CFP and has served on NAPFAs National Board for the past two years.