New Hire Roundup: Morningstar Shuffles Leadership
Meanwhile, the SEC has appointed a new equity market structure committee, which includes FINRA CEO Richard Ketchum.
SEC’s Top Exam Priorities for 2015: Retirement Savers, Branch Offices
The regulator also will zero in on reps who offer "a variety" of fee arrangements.
Top 3 Advisor Challenges for 2015: Advisor FinTech, Regulation, Differentiation
Post-robo technology arises, a surprise new regulatory issue comes to the fore and fat-and-happy advisory firms faces the crisis of differentiation.
IRS International Data Exchange Service Open for FATCA Filings
“The opening of IDES is a milestone in the implementation of FATCA,” said IRS Commissioner John Koskinen.
Illinois OKs Roth IRA-Style Retirement Plan
ASPPA applauds the law, which will require employers with 25 or more workers to offer private retirement plans or use the state program.
SEC Fines EDGA, EDGX Exchanges $14M
The penalty is the SEC’s largest against a national securities exchange, and the case is the SEC’s first principally focusing on stock-exchange order types.
SIFMA Blasts Proposed Financial Transaction Tax
SIFMA is criticizing Rep. Chris Van Hollen’s just-released tax reform plan, which calls for a financial transaction tax.
'Hide Not Slide' Orders Were Slippery and Hidden
What's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.
FINRA Bars CEO Who Appeared in ‘Wall Street 2’, Expels His Firm
A panel barred Tommy Belesis, who appeared in the "Wall Street" film sequel, and expelled his firm for violations around a stock sale.
The Tax Extender Benefits for Your Clients
Here’s what you need to know about the tax extender provisions that Congress made retroactively relevant for 2014.