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.
IRS’ Top 12 Tax Scams: 2014’s Dirty Dozen
By Michael S. FischerThe spring tax season is a lucrative one for scam artists who prey on both unwary victims and complicit tax evaders.
February 27, 2014
IRS is PPACA enforcer, lawyer saysExchanges have no enforcement authority, according to William Schiffbauer.
February 27, 2014
IRS is PPACA enforcer, lawyer saysExchanges have no enforcement authority, according to William Schiffbauer.
February 25, 2014
SEC: Banker Made Insider Trades in Accounts of Ex-Wife, Father to Pay Child SupportThe banker faces criminal charges and an account freeze. The SEC says he made nearly $1 million in illegal profits.
February 24, 2014
SEC Reveals Its 2014 Exam and Enforcement PrioritiesOfficials at the Securities and Exchange Commission have ushered in an era of more transparency, parting the curtain for advisory firms on what theyll be scrutinizing as well as which rulemakings are priorities this year.
February 24, 2014
Nitty-gritty on 6 key provisions of employer mandateA closer look at what regulators had to say about six provisions expected to impact the workplace.
February 24, 2014
Nitty-gritty on 6 key provisions of employer mandateA closer look at what regulators had to say about six provisions expected to impact the workplace.
February 24, 2014
FINRA Fines Berthel Fisher $775,000 Over Sales of AlternativesThe IBD must hire a consultant to shape up its supervision of nontraded REITs and leveraged/inverse ETFs, the regulatory group says.