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 plans to hand out whopping $30 million whistleblower award
By Melanie WaddellThe SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
September 23, 2014
SEC Announces 3 Senior-Level AppointmentsSEC announced this week a new administrative law judge and two other personnel moves.
September 23, 2014
SEC Fines Barclays $15M Over Lehman Acquisition FailuresBarclays failed to establish a critical compliance foundation when it acquired Lehmans advisory business, the regulator says.
September 22, 2014
Treasury, IRS Issue New Guidance to Curb Corporate Tax InversionsThe Treasury Department and IRS issued guidance late Monday to reduce the tax benefits of corporate inversions.
September 22, 2014
5 ways regulation is affecting the annuity industryFrom financial planners to annuity producers, everyone has felt the effects of regulatory restraint on both the local and national level.
September 22, 2014
Wells Fargo Fined $5M Over Advisor’s Insider Trading, Altered DocumentSEC says Wells Fargo Advisors was slow to release required compliance documents and "altered" one related to sales of Burger King stock.
September 22, 2014
SEC Plans to Hand Out Whopping $30 Million Whistleblower AwardThe SEC expects to award a whistleblower more than $30 million for providing key original information that led to a successful enforcement action.
September 22, 2014
How to avoid the IRS by planning ahead for tax-free inherited IRA rolloversClients who perform simple advance planning with an advisor can prevent a costly and uncertain lawsuit.