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.
Morgan Stanley Fined $2 Million Over Short-Sale Reporting
By Michael J. MooreBillions of shares in positions weren't fully disclosed over a six-year period, according to FINRA.
May 12, 2015
FINRA Arb Panel Grants $500K to Ex-Morgan Stanley RepThe advisor, now with FiNet, said the firm had pushed him out and tainted his reputation.
May 11, 2015
SEC Charges Radio Hosts With Misleading Life Settlement InvestorsThe Texas-based hosts falsely told investors that interests in life settlements they sold were guaranteed, safe as CDs and federally insured, the SEC says.
May 08, 2015
3 IRS PPACA compliance weaknessesTaxpayers who lied about their 2014 coverage may get away with it.
May 08, 2015
Lawmakers Ask DOL’s Perez to Extend Fiduciary Comment PeriodLawmakers asked Perez to extend by another 45 days the comment period on DOL's fiduciary redraft, but fiduciary advocates disagree.
May 08, 2015
SEC’s White ‘Proud of Progress’ at CommissionMary Jo White told attendees at the Rocky Mountain Securities Conference that she was proud of the progress the SEC has made in reducing risk to investors.
May 08, 2015
Wagner wages war over DOL ruleThe second-term Republican congresswoman calls the Department of Labor's recent proposal "another instance of top-down, Washington-knows-best approach."
May 08, 2015
Wagner wages war over DOL ruleThe second-term Republican congresswoman calls the Department of Labor's recent proposal "another instance of top-down, Washington-knows-best approach."