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.
4 Ways Wealthy People Can Still Hide Money
By Ben StevermanGone is the heyday of Swiss bank accounts. Here are four ways to get secrecy, or lower taxes, though rarely both at the same time.
April 13, 2015
7 more great accountant jokesThese seven witticisms will make your tax season a little brighter.
April 13, 2015
FINRA Readies Changes to Communications RulesFINRA is also taking comments until mid-May on member application rules.
April 10, 2015
Avoid these 3 IRA distribution mistakesDistributions from IRA accounts often appear to be simple and they can be but they also can be surprisingly complex.
April 10, 2015
Algorithms Will Make JPMorgan Less BadJPMorgan is using algorithms "to identify rogue employees" to minimize costs and maximize ROE (and bonuses). That happens to coincide with regulatory goals.
April 10, 2015
SEC chief: fiduciary, third-party audit rules to advance this yearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 10, 2015
SEC chief: fiduciary, third-party audit rules to advance this yearSEC will discuss making rules this year on third-party advisor audits and a uniform fiduciary standard, SEC chief Mary Jo White said.
April 09, 2015
SEC to RIAs: Beware the Ides of ‘May’Recent SEC enforcement actions should prompt advisors to review their Form ADV for a potentially dangerous wordmayrelating to compensation and conflicts of interest.