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.
Talk of FINRA as Advisor SRO Rears Its Head Again
By Melanie WaddellA Republican on the House Financial Services Committee said at FINRA's annual conference that he would "explore" legislation to give FINRA advisor exam authority.
May 27, 2015
SEC should require political-spending reports, ex-chairs sayThey pointed to a record 1.2 million comment letters supporting a 2011 petition by a group of securities law professors as evidence that the agency should act.
May 27, 2015
Taxpayers’ Private Data Stolen From IRS WebsiteIdentity thieves hack information of 104,000 taxpayers and net $50 million in fake refunds.
May 27, 2015
FINRA’s Ketchum Blasts DOL Fiduciary Plan; White House Says ‘Work With Us’FINRA CEO Richard Ketchum talked at the regulator's conference about what's wrong with the DOL plan and offered an alternative approach to putting customers first.
May 26, 2015
Deflategate: One bad ethics decision is one too manyGraying the edges of an ethical decision wont put most of us on the front page of every major newspaper, but it can create an unintentional pattern or consequence.
May 26, 2015
Identity thieves got private data for 104,000 U.S. taxpayersThe thieves filed fake tax returns and collected as much as $50 million in refunds, Commissioner John Koskinen said.
May 26, 2015
How to use compliance advice to “Be Column A”Today's employers have compliance issues that go far beyond PPACA. Here's what you need to know to effectively advise them.
May 26, 2015
Deutsche Bank Hit With $55M SEC Fine for Misstating Financial ReportsDuring the financial crisis, Deutsche Banks financial statements did not reflect the significant risk in large, complex illiquid derivative positions, says SEC's Ceresney.