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.
Experts worry about IRS pitfalls
By Allison BellWhat if Mr. Doe owns a farm, Mrs. Doe owns an accounting firm, and documents are a little tangled?
December 04, 2013
You Can Leave Your Hat(s) On: Two Fiduciary Standards?Creating two fiduciary standards would do nothing to reduce the current state of investor confusion; the real losers would be retail investors.
December 04, 2013
FINRA bars two brokers for theft from an elderThe agency says the brokers stole $300,000 from a senior with diminished mental capacity."
December 03, 2013
Ken Fisher’s Backhanded Call to ArmsKen Fisher's provocative statements about RIAs' demise in 10 years should be a wake-up call to all RIAs to make their voices heard in Washington.
December 03, 2013
Audit: PPACA tax credits vulnerable to fraudFraud may not be detectable prior to the issuance of tax return refunds, said the Treasury inspector general for tax administration.
December 03, 2013
Audit: PPACA tax credits vulnerable to fraudFraud may not be detectable prior to the issuance of tax return refunds, said the Treasury inspector general for tax administration.
December 03, 2013
FINRA Bars Brokers for Fleecing Elderly WidowThe two brokers took $300,000 from a widow with diminished mental capacity, FINRA said.
December 02, 2013
IRS watchdog finds PPACA problemsInvestigators tell the premium tax credit team to mind security configuration settings.