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 shield investment income from the IRS
By Melanie WaddellInvestors should consider muni bonds, MLPs, REITs and the IRA/charitable contribution rollover, Andy Friedman writes.
March 11, 2015
Broker business seeks wedge against White House bid to pare feesThe White Houses move to tighten DOL-crafted broker rules leaves SEC Chair Mary Jo White in a tough spot.
March 11, 2015
This is what happens when you just don’t file your taxesThe government usually catches up with non-filers...eventually.
March 11, 2015
This is what happens when you just don’t file your taxesThe government usually catches up with non-filers...eventually.
March 09, 2015
The secret tax lives of the rich and famousFinancial advisors of the famous are seeing stars, literally, since when they hit it big, many dont know what to do with all the money.
March 09, 2015
The secret tax lives of the rich and famousFinancial advisors of the famous are seeing stars, literally, since when they hit it big, many dont know what to do with all the money.
March 09, 2015
SEC Mulls Adding SMA Info to Form ADVThe regulator may also be considering asking about leverage, securities lending and other factors to better gauge risk, IAA says.
March 09, 2015
DOL Has Worked ‘Very Closely’ With SEC on Fiduciary Plan: PerezThe Labor secretary told CNBC that DOL wants to create a "level playing field" for advisors that are already putting their clients' interests first.