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.
Oldest Americans living longer, and are fitter and richer, too
By Staff WriterOlder Americans are working more, exercising more and having an easier time with the activities of daily living.
August 20, 2012
SEC Private Placement Rule Threatens to Put Investors at Great RiskA survey of state securities regulators found that fraudulent private placement offerings were ranked as the most common product or scheme leading to investigations and enforcement actions.
August 20, 2012
SEC Backs Off Issuing Private Offering RuleAfter repeated complaints, SEC Chairwoman Mary Schapiro instead will put the rule out Wednesday for public comment.
August 20, 2012
IRS, Tax Court Rulings Applauded at LIMRA ForumRecent moves by the IRS and tax courts provide big wins for the industry.
August 20, 2012
IRS, Tax Court Rulings Applauded at LIMRA ForumRecent moves by the IRS and tax courts provide big wins for the industry.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 17, 2012
FINRA Goes Heavy on the FinesThe Financial Industry Regulatory Authority has levied nearly $40 million in fines so far this year, with more to come.
August 17, 2012
Exchange Builders: Where Are the Federal Regulations?Delays in Washington are hindering the states that do want to implement PPACA, officials say.