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 Levied $60M in Fines in 2013
By Melanie WaddellIn FINRA's annual report, CEO Richard Ketchum also says that FINRA is pressing forward with its controversial CARDS data collection plan.
June 20, 2014
New once-per-year rollover rule Q&AThe Tax Court dropped a bombshell of a decision, reshaping the once-per-year rollover rule as we knew it.
June 19, 2014
IRS Tweaks Offshore Account Rules to Prod Tax Cheats to Pay UpIRS expands its program to encourage the millions of Americans who have cheated on their taxes with offshore accounts to come forward.
June 19, 2014
BrokerCheck Links in Twitter Profiles? No Way, BDs Tell FINRAIn comments on FINRA's revised plan to require links to BrokerCheck, rules on social media and other third-party sites draw particular ire from broker-dealer groups.
June 18, 2014
House Committee OKs Smaller SEC Budget Raise Than Hoped ForSEC gets a raise from 2014, but $300 million less than Obama requested. The budget bill now advances to the House Appropriations Committee.
June 16, 2014
DOL Fiduciary Rule in 2016?It may be 2016 before a new rule is in effect, and even thats a long shot, says Groom Law Group's Steve Saxon.
June 16, 2014
High Court backs anti-PPACA group in First Amendment caseAn Ohio law classifies making some false statements during a political campaign as a criminal offense.
June 16, 2014
SEC Fines Paradigm Capital in First Whistleblower Retaliation CaseThe SEC charged hedge fund advisory firm Paradigm with making prohibited principal transactions and then retaliating against the trader who reported them.