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.
Behind the Burden of Regulation (New York Times)
By Staff WriterRegulations to counter dubious behavior sometimes written by officials with an unfamiliarity of the operations they're looking to regulate.
May 14, 2012
‘If You Want to Speculate, Don't Call Yourself a Bank’—TD Bank CEOBloomberg TVs Erik Schatzker sat down with Edmund Clark, who calls himself an old-fashioned banker.
May 14, 2012
IRS Steps Up Fight Against Identity Theft, PhishingAs if worrying about taxes werent enough to handle, a troubled IRS looks to prevent and detect identity theft cases.
May 11, 2012
Jason Zweig Calls for Robots as RegulatorsJason Zweig is causing controversyagainsuggesting the ongoing SRO debate would be solved with robots (seriously).
May 11, 2012
SEC’s Schapiro Adamant About Money-Market Fund ReformsDuring a conversation between Schapiro and Mellody Hobson, president of Ariel Investments, at the ICI's annual conference, Hobson said the industry and the SEC were at loggerheads over the SECs plans.
May 11, 2012
SEC, FINRA Enforcement Roundup: Former Detroit Mayor, Movie Producer ChargedAmong those finding themselves recently on the wrong end of an SEC action were a movie producer, former Detroit mayor Kwame Kilpatrick and a Shanghai-based auditing firm.
May 10, 2012
Will Wandry Forever Eliminate IRS Valuation Arguments?Valuing minority interests in a family-owned business can present a significant challenge to owners looking to take advantage of todays high gift tax exclusion.
May 10, 2012
Could International Regulation Kill Long-Term Products?The proposed International Financial Reporting Standards 4 (IFRS 4) and an inappropriately designed economic solvency regime would bring tremendous volatility to companies with long-term insurance business models.