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 seeks comment on cost-basis guidance
By Staff WriterThe IRS is requesting input on implementing the cost-basis reporting requirements included in the bailout bill passed in October. Comments are due by March 2. Customers'...
February 10, 2009
SEC To Require XBRL ReportsThe U.S. Securities and Exchange Commission has gone ahead with plans to make public companies submit financial data in a standard interactive data format.
February 10, 2009
SEC To Require XBRL ReportsThe U.S. Securities and Exchange Commission has gone ahead with plans to make public companies submit financial data in a standard interactive data format.
February 09, 2009
SEC Charges Investment Manager In Alleged FraudA regulator alleges investment fraud in Illinois.
February 09, 2009
SEC Charges Investment Manager In Alleged FraudA regulator alleges investment fraud in Illinois.
February 09, 2009
SEC Chairman eases violation policy, boosts enforcementSEC Chairman Mary Schapiro said Friday she will do away with a two-year "penalty pilot" policy requiring Enforcement staff to get commission approval before negotiating...
February 06, 2009
Wachovia Settles SEC's ARS ChargesThe SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.
February 05, 2009
Dinallo Weighs In On Proposed Fed RegsNew York's Insurance Superintendent thinks the proposed optional Federal charter for insurance would mostly be "a horrendous idea."