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 to Hold Muni Advisor Compliance Summit
By Melanie WaddellThe SEC, FINRA and MSRB will hold inaugural Compliance Outreach Program for Municipal Advisors in Chicago on Nov. 3.
October 03, 2014
IRS posts new PPACA tax form draftsThe new Form 1095-C draft looks similar to the August draft.
October 02, 2014
SEC Enforcement: Ex-Wells Fargo Analyst, Trader Charged With Insider TradingSEC also hits two for insider trading on Pershing Square's Herbalife short, while Massachusetts charges a tax advisor with preying on elderly relatives.
October 02, 2014
SEC’s Gallagher Warns of Bond BubbleRetail investors would be most vulnerable to a sell-off in the $10 trillion bond market, the commissioner says.
October 01, 2014
Inside the New York Fed: Secret recordings and a culture clashA confidential report and a fired examiners hidden recorder penetrate the cloistered world of Wall Streets top regulator and its history of deference to banks.
September 30, 2014
Revenge of the Compliance Nerds: The SEC’s Whistleblower ProgramWhat could possibly go wrong with the SEC's program encouraging compliance personnel at firms the SEC regulates to rat on their own firms?
September 30, 2014
IRS blesses split 401(k) rolloversThe IRS has recently cleared the pathway for high-income clients looking to maximize the value of their employer-sponsored retirement plan assets.
September 30, 2014
FINRA Releases New Version of Controversial CARDS PlanFINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.