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.
As Dually Registered Advisors’ Assets Grow, SEC Zeros In
By Melanie WaddellJust as the SEC beefs up its oversight of dually registered advisors, new research from Cerulli Associates finds the dually registered channel is one of the fastest growing.
March 07, 2013
Why IRA consolidation makes even more senseThis year, the Department of Labor is on a crusade to subject IRA accounts to an ERISA fiduciary standard.
March 07, 2013
Why IRA consolidation makes even more senseThis year, the Department of Labor is on a crusade to subject IRA accounts to an ERISA fiduciary standard.
March 07, 2013
For Tax Identity Thieves and Phishers, Business Is BoomingAccording to the National Taxpayer Advocates 2012 annual report to Congress, ID theft is mushrooming into a far bigger problem in the tax arena than many taxpayers may suspect.
March 06, 2013
FINRA’s Proposed Broker Recruitment Bonus Rule Makes Strange BedfellowsSIFMA and NAIFAs comment letters on FINRAs proposed rule on disclosing bonuses paid to brokers to switch BDs agree with me. Now Im worried.
March 06, 2013
FINRA’s Broker Bonus Rule Seen as ‘Done Deal’ With SIFMA OKSecurities lawyer Patrick Burns told AdvisorOne that with SIFMA's support, the proposals chances of becoming a new rule seem to be a done deal.
March 06, 2013
Mary Jo White hearing set for next weekSenate Banking to also consider nomination of Richard Cordray as CFPB director.
March 06, 2013
Mary Jo White Hearing Set for March 12The Senate Banking Committee will hold a hearing Tuesday to consider the nomination of Mary Jo White as the next SEC chairwoman.