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 Levied Record $3.4B in Fines in 2013
By Melanie WaddellBut brokers and advisors were hit with fewer enforcement actions this year, the SEC says.
December 16, 2013
Federal regulation: 5 things to expect in 2014The year ahead will bring rising interest rates, tax reform and sorely needed changes to Healthcare.gov.
December 13, 2013
Feds could change PPACA deadlines againThe new interim regulations add wiggle room.
December 13, 2013
Feds could change PPACA deadlines againThe new interim regulations add wiggle room.
December 12, 2013
SEC, FINRA Enforcement: Muni Firm Fined Over Sports Ticket GiftingMeanwhile, FINRA censured and fined Wells Fargo Advisors over undetected unauthorized fund transfers, and the SEC froze assets in an oil and gas scheme.
December 12, 2013
Pre-Crisis CDOs Haunt Merrill With $131.8M SEC FineMerrill Lynch failed to inform investors that a hedge fund firm shorting the CDOs had significant influence over the selection of their collateral.
December 10, 2013
Republicans cut off IRS nominee hearingIf confirmed, John Koskinen would oversee the PPACA premium tax credit administration.
December 10, 2013
Republicans cut off IRS nominee hearingIf confirmed, John Koskinen would oversee the PPACA premium tax credit administration.