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 Enforcement: SEC Busts Scheme Involving Stock Tips on Napkins
By Marlene Y. SatterAlso in enforcement, the SEC fined Lions Gate Entertainment and froze assets of the promoter of a microcap stock scalping scheme.
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
SEC Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’SEC 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
SEC sues ex-broker, law clerk over insider tradingThe scheme victimized not only a law firm but also corporate clients and the investors.
March 18, 2014
SEC, FINRA to Hold Joint Regional BD Compliance SeminarsRegistration is open now for programs to be held in April and June.
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.