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 rules on swaps reporting, Dodd-Frank rollback, big banks
By Carla MainNew SEC rules approved yesterday will require that all swaps be reported to public databases within 24 hours.
January 13, 2015
Top 3 Advisor Challenges for 2015: Advisor FinTech, Regulation, DifferentiationPost-robo technology arises, a surprise new regulatory issue comes to the fore and fat-and-happy advisory firms faces the crisis of differentiation.
January 12, 2015
8 Oddest Enforcement Cases of 2014Office equipment trafficking, a broker who gave client money to charity and more offbeat cases from the SEC and other regulators.
January 12, 2015
IRS International Data Exchange Service Open for FATCA FilingsThe opening of IDES is a milestone in the implementation of FATCA, said IRS Commissioner John Koskinen.
January 12, 2015
SEC Fines EDGA, EDGX Exchanges $14MThe penalty is the SECs largest against a national securities exchange, and the case is the SECs first principally focusing on stock-exchange order types.
January 12, 2015
'Hide Not Slide' Orders Were Slippery and HiddenWhat's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.
January 09, 2015
FINRA Bars CEO Who Appeared in ‘Wall Street 2’, Expels His FirmA panel barred Tommy Belesis, who appeared in the "Wall Street" film sequel, and expelled his firm for violations around a stock sale.
January 08, 2015
Senators Make Push to Regulate Tax PreparersThe Taxpayer Protection Act of 2015 requires preparers to demonstrate competency in preparing tax returns, claims for refunds and related documents.