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.
Cost Segregation Audit Techniques Guide
By Staff WriterThe IRS is trained to look at 13 principal elements of a cost segregation study. Space limitations don't allow for a discussion of this but...
April 01, 2008
SEC: "We hear you"The Securities and Exchange Commission has proposed an amendment to Part 248 Reg S-P: Privacy of Consumer Information and Safeguarding Personal Information, that may make...
April 01, 2008
Plain English, PleaseAfter much anticipation, on February 13 the SEC proposed amendments to Part 2 of Form ADV, which would require advisors to provide a plain-English narrative...
April 01, 2008
FINRA and SEC Look to Build BridgesKeeping the lines of communication open between broker firms and the regulating agencies of the Financial Industry Regulatory Authority and the Securities and Exchange Commission...
April 01, 2008
Caveat VendorIt began with nothing but the best intentions: Financial advisors wanting to reap higher yields for their retail clients -- and in the process also...
April 01, 2008
12b-1 Headed for an OverhaulEight months after holding a roundtable discussion on its Rule 12b-1, the SEC is planning a "complete overhaul" of the rule, according to SEC Chairman...
March 31, 2008
Seminars and credentials go under the microscopeNote: FINRA's Regulatory Notice 07-43 echoes a series of complaints and issues in the securities sales area that were addressed in California in Senate Bill 620 with respect to the sale of life insurance, including annuities, to seniors. A leading
March 30, 2008
Growling PaysSo, it looks like Congress is going to want some answers to questions it has about the sweetheart deal, arranged by the Federal Reserve Board ...