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 Posts COBRA Answers
By Allison BellThe Internal Revenue Service has released more advice about how to interpret the new health benefits continuation rules.
April 01, 2009
All About EnforcementIt's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm--a tell-tale sign that SEC...
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...
April 01, 2009
Soapbox: How to Restore TrustIt's no secret that most individuals are unhappy with the investment advice they've received recently. Unless advisors received a source message from the spirit world...
March 31, 2009
SEC makes call on FINRA arbitration casesThe Securities and Exchange Commission has approved a new rule that will limit motions to dismiss arbitration before investors present their case. This makes it all the more important to avoid consumer disputes in the first place. The new rule
March 31, 2009
Erik Sirri to Leave SECErik Sirri, director of the Securities and Exchange Commission's Division of Trading and Markets, has announced he will leave the Commission at the end of April and return to academia.
March 31, 2009
Who does your taxes and why?"It may sound funny, but I have H&R Block do my taxes. I have a girl there who's been handling my taxes for the better part of a decade. She has my past records, knows what to look for, what questions to ask, so I pretty much show up