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.
FINRA Fines Aegis $950,000, Suspends Top Execs
By Janet LevauxThe charges are linked to unregistered penny stocks, sold by groups based in Turks & Caicos.
July 30, 2015
Court Rules There’s No 180-Day Limit on SEC InvestigationsAn appellate court has agreed with the SECs self-serving interpretation that Dodd-Frank's 180-day Wells notice limit was not an enforceable limit at all.
July 29, 2015
GAO: Many PPACA exchanges missed a tax credit reporting deadlineThe IRS says it now has the complete 2014 data available for most states.
July 29, 2015
SEC Pay-to-Play July 31 Effective Date a ‘Nonevent’: IAA ChiefThe SEC wont enforce ban on advisors use of third parties to solicit business from government entities until FINRA and the MSRB issue final rules.
July 28, 2015
Lawmakers Ask DOL to Start Over on Fiduciary RuleWe feel it is in the interest of our constituents that the DOL repropose this fiduciary regulation, lawmakers tell Labors Thomas Perez.
July 27, 2015
View: Fighting Obamacare fraud requires funding ObamacareCould opposition to PPACA help con artists rob the taxpayers?
July 27, 2015
Goldman Clearing Arm to Pay $1.8M FINRA Fine Over OATS ViolationsGoldman Execution & Clearing was fined for more than eight years of Order Audit Trail System-related failures.
July 24, 2015
Witness says broker model cheaper than fee model for small accountsThe benefits of the Department of Labors proposed fiduciary rule do not outweigh the costs, according to one witness at a Senate subcommittee hearing.