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 Enforcement Roundup: Twitter, Facebook Pre-IPO Fraud
By Marlene Y. SatterSEC moves on a Ponzi-like social media IPO fraud case and multiple instances of alleged insider trading.
December 30, 2014
IRS posts instructions for PPACA health insurer taxCarriers must file any requests for fee calculation corrections by July 15, 2015.
December 30, 2014
IRS posts instructions for PPACA health insurer taxCarriers must file any requests for fee calculation corrections by July 15, 2015.
December 30, 2014
High-level Fed committee overruled Carmen Segarra’s finding on GoldmanNew York Fed President Bill Dudley says senior Fed officials did not accept a conclusion that had been endorsed by frontline Fed examiners stationed at some of the nations largest banks.
December 30, 2014
High-level Fed committee overruled Carmen Segarra’s finding on GoldmanNew York Fed President Bill Dudley says senior Fed officials did not accept a conclusion that had been endorsed by frontline Fed examiners stationed at some of the nations largest banks.
December 29, 2014
SEC Budget Boost Not Enough for Advisor Exams: Investor AdvocateIn report to Congress, Investor Advocate Fleming also said "reverse churning" of clients in wrap fee accounts needed to be aggressively policed.
December 29, 2014
IRS Should Get Tougher on Charities: GAOBudget cutbacks have called into question the adequacy of IRS ability to police tax-exempt groups, the GAO says.
December 29, 2014
FINRA Fines Pershing $3M for Cash Reserve ShortfallPershing's failure to hold enough cash and securities in reserve broke the SEC's Customer Protection Rule, FINRA said.