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.
Mary Jo White: The 2013 IA 25 Extended Profile
By Melanie WaddellAll eyes will be on new SEC Chairwoman Mary Jo White as she takes the helm and decides which rulemakings to tackle first.
April 30, 2013
Offshore Tax Evaders Taking Big Risk, Former IRS Attorney SaysMany taxpayers, in an effort to avoid onerous penalties and back taxes, are not joining the IRS tax amnesty programs, instead making "quiet disclosures" that could backfire, a former IRS attorney says.
April 30, 2013
Sen. Franken Urges SEC to Ban ‘Unfair’ Arbitration AgreementsSen. Al Franken, D-Minn., told SEC Chairwoman Mary Jo White in a Tuesday letter to act now to prevent Wall Street brokerage firms from forcing investors into unfair arbitration agreements.
April 30, 2013
SEC Slams Level Global With $21.5M Insider Trading FineThe hedge fund advisory firm Level Global Investors has agreed to pay more than $21.5 million to settle charges that its co-founder and analyst engaged in repeated insider trading of Dell and Nvidia stock.
April 29, 2013
Without Fiduciary Rule Collaboration, Cost-Benefit Analysis ‘Worthless’Comments have been flooding into the Securities and Exchange Commission regarding the agencys March 1 request for input on the costs and benefits of putting brokers under a fiduciary mandate.
April 29, 2013
4 Factors for Compliance SuccessIf not for a visit from regulators, would honest advisors undertake most of the required compliance-related tasks? My unqualified answer: No.
April 29, 2013
Help your clients prevent tax identity theftAccording to federal authorities, tax-return fraud is on the upswing. And your senior clients may be at greater risk.
April 29, 2013
Help your clients prevent tax identity theftAccording to federal authorities, tax-return fraud is on the upswing. And your senior clients may be at greater risk.