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.
How to Be a 501(c)(29) Entity
By Allison BellThe new IRS Revenue Procedure 2012-11 sets up procedures for would-be CO-OP carrier organizers.
February 07, 2012
IRS Releases Temporary PPACA CO-OP RegulationsOfficials are setting rules organizers of the new plans can use to apply for 501(c)(29) status.
February 07, 2012
Regulators Casting Light on Shadow BanksConcerns that shadow banks have no backstop in case of crisis and offer opportunities to engage in risky, if not illegal behavior, are pushing regulators for the G20 to look more closely at such institutions.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 03, 2012
FINRA Issues 2012 ‘Watch List’Topping the list are non-traded REITs, complex ETFs, variable annuities and broker fees.
February 02, 2012
Dodd-Frank Imperfect, but ‘We’re Still Better Off’ Because of It: Sheila BairSpeaking at TD Ameritrade Institutional conference, former FDIC chair gets warm reception from advisors, and urges no change to Dodd-Frank's "too big to fail" changes.
February 01, 2012
Scholars Blast PPACA Cost ProjectionsThe U.S. Department of Health and Human Services (HHS) and other agencies responsible for implementing the Patient Protection and Affordable Care Act of 2010 (PPACA) may not be doing such a great job of analyzing the effects of the PPACA regulations they are developing.
February 01, 2012
More Transparency, PleaseConsumer representatives to the NAIC say in a Jan. 16 letter to the Federal Insurance Office (FIO) that effective insurance regulation requires greater transparency and substantive regulation.