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.
Crowdfunding Rules Proposed by SEC
By Melanie WaddellThe SEC voted unanimously Wednesday to publish its crowdfunding rules for a 90-day comment period.
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 21, 2013
When disaster strikes: How good is your plan?If another Superstorm Sandy struck, could you get back online within 24 to 48 hours?
October 19, 2013
Branham, Schadle (and Brand) Assess Strides Made, Future Goals of FPAAt annual conference, a look at the 'business discipline' that's now in FPA's genetic makeup, along with an update on the group's advocacy efforts.
October 18, 2013
SEC Audits: 6 Items You’d Better Find, FastCRMs provide a "rock-solid" corporate memory against examinations and lawsuits, Junxure CEO Greg Friedman says.
October 18, 2013
FINRA Warns BDs to Better Manage Conflicts of InterestFINRA says it may make a new disclosure rule if BDs fail to implement fiduciary-like methods to handle conflicts.
October 17, 2013
How one family fought the IRS on estate taxes — and wonJean Steinberg sought a way to avoid the three-year rule ... and found one.
October 17, 2013
How one family fought the IRS on estate taxes — and wonJean Steinberg sought a way to avoid the three-year rule ... and found one.