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.
Lawmakers Advance Federal Regulation Efforts
By Arthur D. PostalThe House Financial Services Committee Capital Markets Subcommittee will hold a hearing Tuesday on a bill that could create an insurance information office within the ...
June 04, 2008
IRS Issues IRA-To-HSA Transfer RulesHolders of individual retirement accounts can shift some cash into health savings accounts without paying income taxes or penalties on the distributions.Officials at the Internal ...
June 01, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority, Washington, says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A ...
June 01, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority, Washington, says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A ...
June 01, 2008
CMS Sets Drug Program Data RulesA new final regulation could help the Center for Medicare & Medicaid Services learn whether ready access to prescriptions really cuts overall health care costs.The ...
June 01, 2008
CMS Sets Drug Program Data RulesA new final regulation could help the Center for Medicare & Medicaid Services learn whether ready access to prescriptions really cuts overall health care costs.The ...
June 01, 2008
A Long, Hot Regulatory SummerGet ready for a number of regulatory changes to hit home this summer. The SEC is set to release proposed rules soon regarding credit ratings...
June 01, 2008
NEWS & PRODUCTS, JUNE 2008A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 stands, according to a ruling issued by the National Adjudicatory...