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.
SEC Slaps OptionsXpress Again, This Time for Delisted Trading
By John SullivanThis is the second spate of bad news for the company in as many days.
April 16, 2012
HHS OIG: Many Nursing Homes Lack Serious Disaster PlansInvestigators call for feds to replace recommendations with specific planning and training requirements.
April 16, 2012
HHS OIG: Many Nursing Homes Lack Serious Disaster PlansInvestigators call for feds to replace recommendations with specific planning and training requirements.
April 13, 2012
PPACA: IRS Proposes PCORI Fee RegulationsThe PPACA PCORI draft includes worker-counting relief for self-insured plans and a retroactivity limit.
April 13, 2012
PPACA: IRS Proposes PCORI Fee RegulationsThe PPACA PCORI draft includes worker-counting relief for self-insured plans and a retroactivity limit.
April 13, 2012
Bachus to Introduce SRO Redraft Early Next Week: Industry OfficialsHouse Financial Services Chairman Spencer Bachus (left), R-Ala., plans to introduce a redraft of his bill calling for a self-regulatory organization for advisors early next week, according to three top industry officials in Washington.
April 12, 2012
FINRA, SEC Fine Goldman $22M for ‘Trading Huddles’The firm settled over failure to supervise research analysts who met with traders and clients, and to monitor possible subsequent firm and client trading, said FINRA's head of enforcement, Brad Bennett.
April 12, 2012
SEC Fraud Cases: ‘Next Google’ IPO; China Market Manipulation; Florida Ponzi PlayIn Silicon Valley, a fake IPO fleeces investors for $7 million, and in Florida, an advisor targeting gays over-promises and under-delivers