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.
The intersection of property & casualty and employee benefits
By David A. SaltzmanIt's all about bridging the gap between these two areas, which presents some challenges for employers and opportunities for advisors.
March 16, 2015
How to shield investment income from the IRSInvestors should consider muni bonds, MLPs, REITs and the IRA/charitable contribution rollover, Andy Friedman writes.
March 13, 2015
How to Shield Investment Income From IRS: Andy FriedmanThe political forecaster and former tax lawyer has a few tax-smart suggestions for investors.
March 12, 2015
FINRA Enforcement: I-Bank Hid Client’s Criminal Record From InvestorsMeanwhile, the regulator slapped multimillion-dollar fines on Citigroup Global Markets and Merrill Lynch.
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.