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.
IRS Thinks Many Large Estates Underpay
By Staff WriterTotal U.S. estate tax collections increased to about $27 billion in 2008, up 8% from the 2007 total.
March 11, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 11, 2009
SIFMA Pres. testifies need for consolidated broker/dealer and advisor regulationSecurities Industry and Financial Markets Association (SIFMA) President and CEO Tim Ryan hopes to unite broker/dealers and investment advisors under a "universal standard of care." In...
March 10, 2009
Panel Reviews SEC BudgetHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
SEC Verifying Client AssetsNew exam procedure a reaction to Madoff scheme; Commission also preparing self-custody rule
March 09, 2009
Scammers use IRS to target seniorsAs tax season approaches, scammers using the Internal Revenue Service as a guise are targeting seniors in phishing scams, according to an AARP Scam Alert. The first hint that an e-mail from the IRS is part of a scam is its appearance in an inbox
March 09, 2009
Scammers use IRS to target seniorsAs tax season approaches, scammers using the Internal Revenue Service as a guise are targeting seniors in phishing scams, according to an AARP Scam Alert. The first hint that an e-mail from the IRS is part of a scam is its appearance in an inbox
March 05, 2009
Frank Aide Warns Of Federal Insurance OversightA top House committee aide has advised state insurance legislators that he believes Congress will pass legislation this year to create a federal regulator for insurance.