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: Crooks want your clients' W-2s
By Allison BellCriminals are trying to trick payroll and HR workers into sharing employee data, officials say.
March 08, 2016
Tax preparers return to PPACA fogCoverage notice delays may be causing some consumers to wait longer to do their taxes.
March 08, 2016
Tax preparers return to PPACA fogCoverage notice delays may be causing some consumers to wait longer to do their taxes.
March 08, 2016
SEC Launches Office of Risk and Strategy Within Exam UnitSEC names Peter Driscoll to head the new office and manage IA exam staff in Washington; Robert Fisher takes over Driscoll's old OCIE duties.
March 07, 2016
SEC Charges Wells Fargo, Rhode Island With Fraud in Curt Schilling’s Failed CompanyThe case concerns $75 million in bonds issued for video game maker 38 Studios by a government entity.
March 04, 2016
Why We Fear the IRSThe IRS is incredibly powerful, and the tax code is incredibly opaque.
March 04, 2016
Obama to meet with financial regulators ahead of fiduciary ruleThe Obama administration is readying a fiduciary rule that will require brokers to put their clients best interests first.
March 03, 2016
Enforcement: SEC Suspends Rep for Sharing Client InfoIn another action, a jury in the Southern District of New York found two brokers guilty of insider trading.