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.
IRS Struggles to Enforce Employer Health Mandate
By Allison BellA watchdog agency sees delays in efforts to set up 1095-C compliance systems.
April 10, 2017
FINRA Updates Sanction Guidelines to Include Vulnerable IndividualsFINRA's revised guidance also covers sanctions imposed by other regulators.
April 07, 2017
FINRA’s 6 Steps to Recovery for Fraud VictimsThe industry group outlines the details of what investors can do after being affected by financial crime.
April 07, 2017
Chief of Staff of Ex-SEC Head White Rejoins Shearman & SterlingNallengara joins firms capital markets and corporate governance practices in New York.
April 07, 2017
IRS Chief Says Health Premium Tax Credit Structure Deters FraudJohn Koskinen says that subsidies paid to the insurer, not the taxpayer, can help control abuse.
April 07, 2017
SEC Bars Advisor, Fines Another for 12b-1 InfractionsA former Credit Suisse advisor must pay more than $2 million for recommending shares with a 12b-1 fee instead of lower-expense institutional shares.
April 06, 2017
SEC Charges Muni Bond Underwriter in Nursing Home Investment Scheme: EnforcementIn other enforcement news, a court orders a salsa-dancing day trader to pay more than $590,000 in an insider trading action.
April 06, 2017
Lawyers Mobilize as Trump Wages War on RegulationsCorporate clients must be prepared to accommodate mutually exclusive options, strategists say.