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.
How to review IRS Form 1040, line by line
By Mike PattonIf you're familiar with this part of the tax code, you may have a stronger value proposition for the higher-net-worth client.
May 05, 2015
SEC Chief: Advisor Exam Crunch Is a ‘Serious’ Investor Protection IssueSEC chief White tells senators the current 10% advisor exam rate is cause for "great concern" and discusses fiduciary rules.
May 04, 2015
An SEC Broker Fiduciary Standard May Undermine the ’40 ActIn my March 25 blog on ThinkAdvisor.com, Will She or Won't She? Mary Jo White and the Broker Fiduciary Standard, I voiced some concerns about SEC Chairwoman White's recent remarks at SIFMA's Legal and Compliance Seminar in Phoenix pertaining to the SEC's plans to move forward with a fiduciary standard...
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
SEC urged to beef up FINRA oversight: GAOSEC is falling short on supervision of the self-regulator in three areas.
May 01, 2015
FINRA’s Ketchum Criticizes DOL Fiduciary PlanFINRA CEO says DOL's safe harbor descriptions are "narrow" for BDs and that the CARDS plan is on hold until security concerns are addressed.
April 30, 2015
SEC Urged to Beef Up FINRA Oversight: GAOSEC is falling short on supervision of the self-regulator in three areas, GAO says.
April 30, 2015
Blowing the Whistle? SEC Has Your Back, Chief White Says"We have seen enough to know that whistleblowers increase our efficiency and conserve our scarce resources," SEC Chief White said.