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.
Revenge of the compliance nerds: The SEC’s whistleblower program
By Bob ClarkAccording to a September 17 RIA Compliance Alert, the Commission has created an Office of the Whistle Blower.
October 09, 2014
Lawmaker blasts PPACA tax formsSam Graves calls IRS Form 8965 "lengthy, complex and confusing to tax preparers."
October 08, 2014
Ex-Wells Fargo analyst, trader charged with insider tradingTwo charged with insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
October 07, 2014
IRS Prods Lawmakers to Pass Tax ExtendersSenate Finance Chairman Wyden prodded Congress after the IRS warned that failure to act could disrupt tax filing season.
October 07, 2014
FINRA Arb Panels Lack Diversity, Transparency: PIABA Study"Diverse groups of people make better decisions," the investor lawyers' group says.
October 07, 2014
FINRA’s Senior VP of Enforcement Moves to Shulman RogersEmily Gordy, FINRAs senior VP of enforcement, has joined Shulman Rogers as chairwoman of the firms Financial Industry Regulatory Group.
October 06, 2014
SEC to Hold Muni Advisor Compliance SummitThe SEC, FINRA and MSRB will hold inaugural Compliance Outreach Program for Municipal Advisors in Chicago on Nov. 3.
October 06, 2014
SEC Split on Including Brokerages in Trading SafeguardsRules meant to prevent automated trading system breakdowns should be expanded to include brokerages that match orders away from regulated exchanges, two SEC members say.