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.
SEC Enforcement: AlphaBridge Capital, Deloitte & Touche Charged
By Marlene Y. SatterSEC charged a hedge fund with a fraudulent fund valuation scheme; Deloitte & Touche hit with violating auditor independence rules.
July 01, 2015
Goldman Sachs Pays Fine for Roiling Options Market in 2013Goldman agreed to pay a $7 million fine to settle regulatory claims that it sent thousands of mistaken orders.
July 01, 2015
Watchdogs: IRS has problems with employers' tax withholdersTIGTA says the agency needs better processes for tracking payroll companies and PEOs.
July 01, 2015
Watchdogs: IRS has problems with employers' tax withholdersTIGTA says the agency needs better processes for tracking payroll companies and PEOs.
June 30, 2015
FINRA Earnings Surge as Fines DoubleThe self-regulator collected more than twice the amount of fines in 2014 as it did a year earlier, though the number of fines fell.
June 30, 2015
Buddy Donohue, Back at SEC, Could Boost Chances of VA Summary Prospectus RuleFormer SEC Commissioner Troy Paredes says there's "opening for movement" on such a rule.
June 30, 2015
FSI Tells Lawmakers Why DOL Fiduciary Plan Is U.N.W.O.R.K.A.B.L.E.FSI "fact sheet" uses each letter in the word "unworkable" to explain the current DOL redrafts faults.
June 30, 2015
DOL fiduciary foes said to be writing best-interest standard billLabor Secretary Thomas Perez noted recently that the fiduciary redraft was a top priority to help strengthen and grow the middle class.