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.
Offshore Tax Evaders Taking Big Risk, Former IRS Attorney Says
By Gil WeinreichMany 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 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.
April 26, 2013
SEC fiduciary questionnaire is fatally flawedIf industry lobbyists fighting the fiduciary standard had written this SEC release, it wouldnt have looked much different.
April 26, 2013
SEC fiduciary questionnaire is fatally flawedIf industry lobbyists fighting the fiduciary standard had written this SEC release, it wouldnt have looked much different.
April 26, 2013
FPA Makes Two Big Pushes in WashingtonThe FPA is well under way in putting its advocacy infrastructure in place, FPA President Michael Branham told AdvisorOne in an interview Thursday.