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 Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’
By Melanie WaddellSEC is very sensitive to preserving money market funds as it proceeds to the adopting phase of a money fund rule, Chairwoman White says.
March 18, 2014
Do you live in fear of an IRS audit?Here are five red flags small business owners should steer clear of on their return.
March 18, 2014
Do you live in fear of an IRS audit?Here are five red flags small business owners should steer clear of on their return.
March 18, 2014
Exchange plans to get reviewsOfficials will use complaint and performance data to pick the targets.
March 18, 2014
fi360 urges SEC to consider third-party advisor examsAs user fees bill and SRO options stall, fi360 urges leveraging third-party compliance reviews
March 18, 2014
fi360 urges SEC to consider third-party advisor examsAs user fees bill and SRO options stall, fi360 urges leveraging third-party compliance reviews
March 18, 2014
FINRA, BATS Fine Citigroup Over Short Selling ViolationsCitigroup Global Markets must pay $1.1 million for participating in five public offerings after shorting the shares, FINRA said.
March 18, 2014
Moody's: Insurer SIFIs benefit from Collins clarificationIn clarifying her amendment to the Dodd-Frank Act, Sen. Susan Collins helped SIFI-designated insurers get a credit positive.