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.
DOL not budging on fiduciary rule comment period
By Melanie WaddellLabor Secretary Thomas Perez says that the current timeline, including a hearing and another chance to comment, is "a long time."
April 24, 2015
SEC Gives Compliance Officer $1M Whistleblower AwardThe whistleblower is set to receive between $1.4 million and $1.6 million for reporting "imminent misconduct."
April 24, 2015
Enforcement: Deutsche Bank to Pay $2.4B Over LIBOR ManipulationMeanwhile, RBC will pay $1.4 million to FINRA for failing to follow its own guidelines, resulting in unsuitable sales.
April 23, 2015
IRS may turn in PPACA fraud plan a year lateAn implementation team is still developing a strategy to guide systems development.
April 23, 2015
IRS may turn in PPACA fraud plan a year lateAn implementation team is still developing a strategy to guide systems development.
April 23, 2015
Rivlin: Fed’s Real Challenge Is Preventing Another Financial CollapseBiggest worry isnt when Fed will raise rates, but how it should help identify threats to financial stability, said former Fed vice chairwoman Alice Rivlin.
April 23, 2015
DOL Not Budging on Fiduciary Rule Comment PeriodLabor Secretary Thomas Perez says that the current timeline, including a hearing and another chance to comment, is "a long time."
April 22, 2015
IRS ripped at hearing over service cuts to taxpayersThe IRS commissioner counters at a Ways & Means Committee hearing that it was hampered by budget cuts.