Regulation and compliance
Regulation and compliance
-
The mood in markets and the financial situation are starkly different from 2017, when Trump and congressional Republicans passed a deficit-expanding tax cut.
January 17 -
These and other issues were the topics of the "2025 Markets & Economy Outlook" webinar Monday with Fidelity Investments.
January 14 -
Leadership appointments and an influx of new crypto-friendly lawmakers suggest the 119th Congress could be the most fintech and crypto-friendly in years.
January 14 -
Regulators have handed down more than $3 billion in penalties over employees' alleged failures to record business-related messages sent on services like WhatsApp.
January 13 -
Regulators accused the online brokerage of failing to accurately report trades, comply with short selling rules and maintain proper books and records, among other things.
January 13 -
Two brokers had sought an unspecified amount that they argued they were owed from when they worked at the Wall Street giant before departing for rival firms.
January 13 -
Lawsuits before the Supreme Court and in lower federal courts across the country could further reduce enforcement powers at the IRS and the SEC this year.
January 13 -
The firm says a summer intern who was turned down for a full-time position sent harassing messages that led it to close its Atlanta office for two days in January.
January 13 -
The proposed regulations involve provisions of the SECURE 2.0 Act, including auto enrollment in 401(k) and 403(b) plans, and the Roth IRA catchup rule.
January 10 -
Michael and David Sztrom, who settled fraud allegations with the SEC in 2022, contend the regulators' "follow on" attempt to boot them from the industry violates their constitutional rights.
January 9