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.
Compliance at Financial Services Firms Falls Short
By Michael S. FischerCompliance firm Cipperman finds that firms, especially in the alternatives space, tend not to invest enough in staying compliant.
August 18, 2014
One Golf Course That's Great for Stock TipsThe Oakley Country Club in Watertown, Massachusetts, would seem to be the biggest hotbed of alleged insider trading since SAC Capital.
August 15, 2014
IRS Warns on Phone Scams as Its Contractors Put Taypayer Info at RiskAgency warns of the biggest phone scam it has ever seen; meanwhile, a report finds IRS gave contractors taxpayer data without mandatory background checks.
August 15, 2014
SEC Charges Energy Firm Whose Fracking Replacement Was Just a ChimeraChimera Energy built a pump-and-dump scheme on the premise that it was developing cleaner oil-and-gas technology, the SEC said.
August 15, 2014
Former SEC Chief Walter Named FINRA Public GovernorFINRA announced Thursday that former SEC Chairwoman Elisse Walter has been elected to FINRAs Board as public governor.
August 15, 2014
SEC Enforcement: Kansas Charged With Securities FraudIn another action, a brokerage firm and its founder were charged with violating net capital requirements and falsifying data in an attempt to mislead examiners.
August 14, 2014
IRS makes sudden PPACA insurer tax changeAffected entities that call the agency by this Monday may be able to cut what they owe.
August 14, 2014
New Hire Roundup: Piccone to Lead SEC Exam Program in DenverIn other personnel moves, WBI promoted Matt Woehnker, and David Brierwood joins the Preqin board.