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.
FINRA Enforcement: Monex Fined for Letting Unregistered Reps Advise Clients in Mexico
By Marlene Y. SatterMeanwhile, Merrill was fined $300,000 for supervisory failures.
January 06, 2015
PPACA tax credit: What if you get married?APTC calculations may add complications (and romance!) to 2014 tax forms.
January 06, 2015
FINRA’s Top Exam Priorities for 2015FINRA calls BDs failure to put clients first a recurring challenge in its 2015 priorities report.
January 06, 2015
Finra to probe broker conflicts when exchanges offer rebatesThe SEC has been looking into rebates and other incentives that influence where brokers send client orders.
January 06, 2015
Finra to probe broker conflicts when exchanges offer rebatesThe SEC has been looking into rebates and other incentives that influence where brokers send client orders.
January 05, 2015
What donors want from the lawmakers they helped electOne big player, the Chamber, likes infrastructure. It dislikes government shutdowns.
December 31, 2014
SEC Finds Flaws in Credit Rating AgenciesThe SEC found the agencies fell short in managing conflicts of interest as well as IT and cybersecurity issues.
December 31, 2014
IRS Pledges 2015 Tax Season Will Open on TimeCommissioner John Koskinen says IRS will begin accepting electronic and paper tax returns on Jan. 20.