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.
Fed’s Raskin: Regulators don’t have a “gotcha” mentality
By Staff WriterU.S. financial regulators are not being overzealous in their approach, says Federal Reserve Governor Sarah Raskin.
October 12, 2012
Playing With Fire: CCOs and Lawyers Who Got Burned by RegulatorsAfter analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.
October 11, 2012
SEC, FINRA Enforcement Roundup: Schwab's BrokersXpress Hit With Another FineFINRA and the SEC recently took action against a number of firms for everything from fraud to supervisory failure that in some cases cost the firms dearly.
October 11, 2012
SEC Creates Deputy CIO Position to Spur ModernizationIn her new role as deputy director, Pamela Dyson will coordinate closely with the agencys divisions and offices to maintain an innovative, secure and efficient technology infrastructure, the SEC says.
October 10, 2012
IRS’ Top 10 Richest Nonprofit CharitiesMore than 315,000 nonprofit charities reported nearly $2.5 trillion in assets for tax year 2008, according to the IRS, with universities and large hospitals dominating the top 10.
October 10, 2012
Oct. 15 Deadline Looms for 11 Million TaxpayersAutomatic extensions to file and in some instances pay income taxes expire Oct. 15, though some taxpayers will have more time.
October 09, 2012
IRS Deadline to Switch IRA Back From Roth LoomsThe deadline is set for Oct. 15, the same deadline for taxpayers who were granted an extension to file.
October 09, 2012
Can Advisors Have ‘Zero’ Conflicts of Interest? The Legal and Regulatory RecordThe CFP Boards director of investigations makes the case that there is no such thing as zero conflicts of interest and that the nature of material conflicts of interest is subject to change.