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.
Hobby Lobby: The magic case
By Noah FeldmanHobby Lobby -- so entertaining the Supreme Court will let it run an extra half hour.
March 24, 2014
LPL Financial Fined $950,000 by FINRA Over Alt SalesLPL's sale of alternative investments, including nontraded REITs, violated concentration limit guidelines, FINRA said.
March 22, 2014
IRS Criminal Investigation Unit Tagged More Tax Criminals in 2013The IRS significantly increased enforcement actions against tax criminals and saw a robust rise in convictions, according to its annual report.
March 21, 2014
BDs Blast FINRA’s CARDS Plan on Privacy RiskFSI and other broker-dealer trade groups say FINRA's plan to collect vast amounts of account data comes with "serious privacy" concerns and significant costs.
March 21, 2014
SEC Enforcement: SEC Busts Scheme Involving Stock Tips on NapkinsAlso in enforcement, the SEC fined Lions Gate Entertainment and froze assets of the promoter of a microcap stock scalping scheme.
March 19, 2014
SEC sues ex-broker, law clerk over insider tradingThe scheme victimized not only a law firm but also corporate clients and the investors.
March 19, 2014
IRS sheds light on longevity annuitiesThe IRS has issued a private letter ruling explaining the tax treatment of a so-called longevity annuity.
March 19, 2014
IRS sheds light on longevity annuitiesThe IRS has issued a private letter ruling explaining the tax treatment of a so-called longevity annuity.