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, FINRA Enforcement: Edward Jones Fined for AML Failures
By Marlene Y. SatterMeanwhile, the SEC fined International Capital Group for selling penny stocks and making stock-based loans without registering as a BD.
January 28, 2015
IRS summarizes PPACA individual mandate rulesThe guide shows what consumers will have to file and how "reconciliation" will work.
January 28, 2015
IRS summarizes PPACA individual mandate rulesThe guide shows what consumers will have to file and how "reconciliation" will work.
January 28, 2015
IRS: HHS sets CO-OP solvency rulesAn agency turns down a chance to vet nonprofit, member-owned health insurers.
January 28, 2015
IRS: HHS sets CO-OP solvency rulesAn agency turns down a chance to vet nonprofit, member-owned health insurers.
January 27, 2015
FSI Chair Blasts White House Fiduciary Memo as ‘Offensive’FSI Chairman and Cetera President Antoniades says the memo's "ignorance" is "frankly offensive"; FSI also says its fighting FINRA's CARDS plan.
January 27, 2015
Oppenheimer & Co. Fined $20M Over Penny Stocks, AML ViolationsOppenheimer & Co. agreed Tuesday to pay $10 million to Treasury and $10 million to the SEC for penny-stock related misconduct.
January 27, 2015
IRS waives penalties for late payments linked to PPACANotice 2015-09 does not affect filers' obligations to pay back any excess tax credit subsidies received.