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.
CMS Sets Drug Program Data Rules
By Staff WriterA new final regulation could help the Center for Medicare & Medicaid Services learn whether ready access to prescriptions really cuts overall health care costs.The ...
May 29, 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 ...
May 29, 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 ...
May 28, 2008
Potential compliance landminesEven for advisors who stick to the ethical high road, it doesn't hurt to know where potential compliance landmines lurk. Here's a look at several...
May 28, 2008
A big blow to "shareholder rights" advocatesDo you want a greater say in how the companies you invest in are run, or do you trust management to make the tough decisions...
May 28, 2008
Managing compliance responsibilitiesRegulatory compliance is a crucial part of doing business. Here are some suggestions for efficiently managing compliance responsibilities: Devote resources up-front to compliance efforts. Be...
May 28, 2008
Where can advisors and reps expect close regulatory scrutiny?Under qualified for oversight? Fines continue to rain down on firms for wrongfully using unregistered executives in key compliance supervisory positions. Research disclosure? FINRA...
May 27, 2008
DOL's Priorities for 2008 and BeyondThe Department of Labor (DOL) will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive, warned Alan Lebowitz, a DOL official,...