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.
IRS Targeting Smaller Businesses--Here's How to Fight Back (Forbes)
By Staff WriterThe IRS is also targeting households with income over $1 million; audits increased 156% from 2008 to 2011.
April 04, 2012
‘Target’ of Target-Date Funds Confuses Investors, SEC FindsResults of a study just released by the SEC assessing investors understanding of TDFs and advertisements related to those funds confirm that they have a number of misconceptions.
April 03, 2012
Federal Reserve Fires Back at Greenberg, Starr over Loan to AIGThe Federal Reserve Bank of New York has asked a federal court to dismiss a lawsuit alleging that the federal government discriminated against AIG by taking it over rather than loaning it money in 2008.
April 03, 2012
Federal Reserve Fires Back at Greenberg, Starr over Loan to AIGThe Federal Reserve Bank of New York has asked a federal court to dismiss a lawsuit alleging that the federal government discriminated against AIG by taking it over rather than loaning it money in 2008.
April 01, 2012
SEC Begins Fiduciary Fact-Finding MissionThe Securities and Exchange Commission plans to ask the investment industry soon to provide it with the information needed to craft an analysis of the potential impact of a uniform fiduciary standard on investors and producers. SEC chairman Mary Schapiro disclosed the agencys plans in comments at a Feb. 24...
March 31, 2012
SEC Begins Fiduciary Fact-Finding MissionThe Securities and Exchange Commission plans to ask the investment industry soon to provide it with the information needed to craft an analysis of the potential impact of a uniform fiduciary standard on investors and producers. SEC chairman Mary Schapiro disclosed the agencys plans in comments at a Feb. 24...
March 31, 2012
March MadnessTo the people who cover Washington, we call it chronicling situational immorality, not since Bush v. Gore have we seen madness that could compare to last weeks Supreme Court debate over the constitutionality of the healthcare reform law.
March 30, 2012
On 5th Anniversary of FPA’s Win on ‘Merrill Rule,’ Fight ContinuesLawsuit whose victory surprised and delighted many changed the conversation in Washington while industry still awaits shape of a final fiduciary rule.