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.
Morgan Stanley to Pay SEC $7.5M Over Trading Scheme
By Janet LevauxMorgan Stanley used trades involving institutional clients cash to lower its borrowing costs, the SEC said.
December 16, 2016
Obama administration revamps group disability claim rulesCompletion of the project may lead to a midnight rules fight with Republicans.
December 16, 2016
Obama administration revamps group disability claim rulesCompletion of the project may lead to a midnight rules fight with Republicans.
December 16, 2016
Deutsche Bank to Pay $37M Fine for Fraudulent Order Routing Practices: EnforcementIn other enforcement news, the SEC filed charges in a $26 million stock manipulation scheme.
December 15, 2016
IRS focuses on low-income liars in new ACA premium tax credit regsThe agency also answers questions about employer opt-out money and employer plan years.
December 15, 2016
IRS focuses on low-income liars in new ACA premium tax credit regsThe agency also answers questions about employer opt-out money and employer plan years.
December 15, 2016
Court Refuses NAFA Bid to Block DOL Fiduciary RuleThe Department of Labor has scored another legal victory for its retirement rule, this time in federal court in Washington.
December 15, 2016
FINRA Enforcement Chief Bennett to DepartBrad Bennett will leave early next year and return to private practice.