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 gets 26% funding boost under Obama’s 2015 budget
By Melanie WaddellSEC wants to use funds to add 316 examiners, 240 devoted solely to advisors.
March 04, 2014
FINRA Backs Off Collecting Personal Data in CARDS PlanSubmission of information will not include individual account names, addresses or tax identification numbers.
March 03, 2014
IRS’ Top 12 Tax Scams: 2014’s Dirty DozenThe spring tax season is a lucrative one for scam artists who prey on both unwary victims and complicit tax evaders.
February 28, 2014
NAPA blasts Yale prof’s ‘high fees’ paperThe association says that the new report uses five-year-old data that doesnt take into consideration how far fees have come down since 2009.
February 27, 2014
SEC, FINRA Enforcement: Fund Assets Raided to Pay Bonuses, Firm’s ExpensesAlso, FINRA censured and fined a firm $130,000 for short position reporting failures.
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.