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.
PPACA: IRS Wrestles with Coverage Reporting Rules
By Allison BellThe agency asks for ideas about ways it can minimize duplication of effort.
April 27, 2012
FINRA to Hike BD Fees in Effort to Recoup ‘Significant Loss’FINRA CEO Richard Ketchum told BDs that the broader economic downturn "has led to a decrease in FINRAs revenues and resulted in a significant loss for fiscal year 2011.
April 27, 2012
SEC Enforcement Roundup: Egan-Jones Charged; H&R Block Arm to Pay $28 MillionThe SEC this week announced several enforcement actions, which included charges brought against a ratings company and its owner and president and against a mortgage company, as well as a settlement reached in an insider trading case.
April 25, 2012
Bill Introduced to Make FINRA Self-RegulatingLegislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.
April 25, 2012
Bill Introduced to Make FINRA Self-RegulatingLegislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.
April 25, 2012
SEC Updates Alert on Pre-IPO ScamsThe SEC on Tuesday issued an updated investor alert concerning scams purporting to sell pre-IPO shares of companies, including such social media firms as Facebook and Twitter.
April 25, 2012
Bachus, McCarthy Introduce SRO RedraftHouse Financial Services Chairman Spencer Bachus reintroduced on Wednesday his draft bill calling for an SRO for advisorsone week after industry sources told AdvisorOne that an SRO bill was imminent.
April 25, 2012
IRS Study Finds Well-Governed Charities More Tax CompliantThe IRS has maintained that a direct relationship exists between exempt organizations' good governance practices and their compliance with the tax code. Now the agency has research to back up its contention.