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.
A More Compassionate IRS? Agency Offers Help for Struggling Taxpayers
By Richard Niles, J.D.The IRS offers more flexible terms in its OIC program, for starters, but also help in collections and lien relief for homeowners.
June 13, 2012
SEC Answers Questions on Form for Advisors With Private Fund AssetsThe SEC has posted responses to frequently asked questions about the implementation of Rule 204(b)-1 and the new Form PF under the Investment Advisers Act of 1940.
June 12, 2012
New SEC Committee to Put Retail Investors FirstMany individual investors feel like they are under siege, SEC Commissioner Luis Aguilar said at the group's first meeting.
June 12, 2012
SEC’s Money-Market Overhaul Faces Uncertain FutureSEC Chairwoman Mary Schapiro was stymied in her reform efforts last week, as a provision attached to a funding bill would require the SEC to study the situation once again.
June 12, 2012
MDRT Leaders Flag Government Regulations as Top ConcernTo an extraordinary degree this year, one issue beyond the control of attendees will be of particular concern: the growing regulatory restrictions imposed by governments worldwide on advisors' businesses.
June 12, 2012
MDRT Leaders Flag Government Regulations as Top ConcernTo an extraordinary degree this year, one issue beyond the control of attendees will be of particular concern: the growing regulatory restrictions imposed by governments worldwide on advisors' businesses.
June 12, 2012
Boomerang: Will FINRA Oversight Force RIAs to the Next Level?Mark Hurley's prediction that the RIA community will consolidate into 40 to 50 mega-firms may be effected by FINRA taking oversight of advisors. Maybe that's not a bad thing?
June 12, 2012
How the SEC could pursue a case against JPMorgan (Reuters)Experts say the best chance to bring an enforcement action will center on whether the bank should have disclosed sooner that it switched to a new risk model. But that, the experts say, could be difficult to prove.