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.
SEC to Push Money Fund Reform Plan Next Week
By Melanie WaddellAs SEC Chairwoman Mary Jo White warned in early May, the agency is poised next week to propose further changes to money-market funds.
May 29, 2013
Tax overhaul: IRS scandal could lead to changesBoth parties say overly complex tax provisions have given the IRS too much discretion in enforcing the law.
May 29, 2013
Tax overhaul: IRS scandal could lead to changesBoth parties say overly complex tax provisions have given the IRS too much discretion in enforcing the law.
May 29, 2013
Nasdaq to Pay SEC $10M Over Botched Facebook IPOThe SEC on Wednesday charged Nasdaq with violations resulting from poor systems and decision-making during the IPO and secondary trading of Facebook shares.
May 29, 2013
Tip of the Iceberg: Email Problem Is Bigger Than LPLFINRA should lighten up on the accusations and fines, and work with firms to find better solutions to what seems to be a hugeand snowballingproblem.
May 28, 2013
Waving the Red Flag on Identity TheftThe SEC and CFTC jointly adopted new red flag regulations for identity theft, which may affect many advisors.
May 28, 2013
SEC’s White Gets Short Shrift from CongressSecurities and Exchange Commission Chairwoman Mary Jo White is running into the same problem that plagued her predecessors: getting the short shrift from lawmakers when prodding them for more money so the agency can properly do its job, including adding examiners for advisors.
May 28, 2013
Leading Questions: The SEC’s Request on Regulation of BDs, RIAsEver notice how the way some questions are worded can greatly affect the way they are answered?