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.
Insurers Face New Regulation from Federal Reserve
By Elizabeth D. Festa, Arthur D. PostalInsurance companies that own or operate a savings & loan will face fresh oversight from the Federal Reserve Board, which is creating a process by which to examine those financial institutions that have significant banking assets.
May 01, 2012
SEC Names Canellos Deputy Director of EnforcementThe SEC has appointed George Canellos, the current director of its New York regional office, as deputy director of the Division of Enforcement.
April 30, 2012
PPACA: IRS Wrestles with Coverage Reporting RulesThe agency asks for ideas about ways it can minimize duplication of effort.
April 30, 2012
PPACA: IRS Offers 3 Plan Valuation MethodsPPACA calls for employers that provide coverage with low actuarial value to pay a penalty.
April 27, 2012
SEC’s Aguilar to IAA: SRO Is Still ‘Not the Best Choice’The commissioner tells the IAA that he also believes in the strictest definition of fiduciary and sees his role as protecting the interests of "hardworking" investors.
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.