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.
IA 25 2014: The Regulators and Advocates—Slideshow
By Editorial StaffWhos more influential than the people crafting the laws advisors and brokers have to work by?
May 02, 2014
IRS completes PPACA tax form rulesThe earliest possible initial monthly reporting date is June 15, 2014.
May 02, 2014
SEC OKs FINRA Rule to Limit Self-TradingSelf-trades by single or related algorithms or trading desks "raise heightened concerns," FINRA says.
May 02, 2014
SEC Chief Economist, Head of Economic Analysis DepartsCraig Lewis is leaving the SEC, effective immediately, to return to Vanderbilt University.
May 02, 2014
SEC halts IRA scam that cost investors $22 millionA Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to invest on behalf of his customers.
May 02, 2014
SEC halts IRA scam that cost investors $22 millionA Utah-based retirement plan administrator hid losses and allegedly used forged letters and signatures to invest on behalf of his customers.
May 01, 2014
FINRA, SEC Enforcement: 6 Charged With Insider Trading on eBay AcquisitionMeanwhile, FINRA fines Edward Jones for unsuitable ETF recommendations.
May 01, 2014
SEC Fines NYSE, 2 Affiliates $4.5 Million for Breaking Their Own RulesWe will hold exchanges accountable if they fail to have rules governing their operations or fail to follow them, said SEC's Andrew Ceresney.