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.
Taxes and the End of DOMA: Married in the Eyes of the IRS
By Robert BloinkThe Supreme Court ruling represents a big win (tax-wise) for same-sex couples. High income same-sex clients, however, need to be prepared for the reality that their tax bills might be going up this year.
June 25, 2013
New fiduciary rules remain elusiveLong-awaited revisions of the Department of Labors fiduciary rules remain months away.
June 25, 2013
SEC Comments Muddy the Waters in Fiduciary Standard DebateThe debate over the fiduciary standard that will become applicable to many financial professionals may be coming to a head.
June 24, 2013
Head of SEC’s Municipal Securities, Public Pensions Unit ResignsThe SEC announced Friday that Elaine Greenberg is leaving the SEC after 25 years to join the private sector.
June 21, 2013
Senate Banking to Hold Confirmation Hearing for New SEC CommissionersThe Senate Banking Committee will hold a confirmation hearing Monday for President Obamas SEC nominees, Kara Stein and Michael Piwowar.
June 20, 2013
Former SEC Compliance Chief Tells White: Stop Suing Compliance OfficersJohn Walsh gave new SEC Chairwoman Mary Jo White some blunt advice: stop suing compliance officers or the future of the profession may be at risk.
June 20, 2013
SEC Enforcement: Morgan Keegan Fund Directors Settle Over Botched ValuationsAlso in the SEC's crosshairs recently: A penny-stock promoter nabbed in an undercover FBI sting and two medical insurance execs accused of a Ponzi scheme.
June 19, 2013
Fiduciary standard bill passed by House panelThe bill would create obstacles for establishing the uniform fiduciary standard, though enactment is considered unlikely.