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.
Fight Back Against ‘Aggressive’ Exams
By Thomas D. GiachettiYou have gotten the call, and the SEC is coming. What now? Are you ready? How do you prepare?
February 27, 2015
Enforcement: Broker Convicted of Bilking Elderly Relatives in Fake Hedge FundMeanwhile, Goodyear agreed to pay $16 million to the SEC to settle bribery charges.
February 26, 2015
The art of avoiding big tax bills on valuable artworksIssues surrounding property held in a private holding company have flared up in a lawsuit filed against the IRS.
February 26, 2015
The art of avoiding big tax bills on valuable artworksIssues surrounding property held in a private holding company have flared up in a lawsuit filed against the IRS.
February 26, 2015
Gifts and Entertainment: SEC Reminds Advisors of the RulesAn SEC Guidance Update is a good reminder of the G&E limitations on funds and their advisors; RIAs and BDs should take heed as well.
February 25, 2015
Bill to Delay DOL Fiduciary Rulemaking Is RevivedRep. Ann Wagner, R-Mo., has reintroduced a bill to force the DOL to wait until the SEC makes its own fiduciary rule.
February 25, 2015
11 Reasons Why Putting Brokerage Clients’ Interests First Is a Bad IdeaThe reasons raised by the brokerage industry against DOLs fiduciary proposal are good, but out of the goodness of my heart, I offer some more.
February 23, 2015
IRS wants your advice about the Cadillac plan taxThe value limits can be adjusted even in 2018.