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.
Senate Votes to Move Ahead on Small Business Bill
By JIM ABRAMSLegislation making it easier for small businesses to raise money survived a test vote in the Senate on Wednesday, increasing the chances it could emerge as one of the few bipartisan bills to pass Congress during this election year.
March 21, 2012
IRS Previews Employer PPACA RegsComing attractions include an affordability safe harbor and worker classification guidance.
March 21, 2012
IRS Previews Employer PPACA RegsComing attractions include an affordability safe harbor and worker classification guidance.
March 20, 2012
NAIC's "House" of Regulation to be a Focus of DC Summit, Response to Royce Due SoonWill Rep. Royce give it a "seal of approval" tomorrow at the NFI regulatory reform summit in D.C.?
March 20, 2012
FINRA Fines Citigroup Arm Over Corporate Bond TransactionsFINRA on Monday fined Citi International Financial Services $600,000 and ordered more than $648,000 in restitution and interest to more than 3,600 customers for charging excessive markups and markdowns on corporate and agency bond transactions.
March 19, 2012
Top 12 Tax Scams: IRS’ Dirty DozenWhether it's slick con artists or taxpayers who play fast and loose with the truth when filing returns, the IRS is watching.
March 19, 2012
SEC Issues Risk Alert on BDs’ Due-Diligence Duties for Municipal SecuritiesCiting a lack of due diligence by broker-dealers, the SEC on Monday issued a Risk Alert on compliance measures to help BDs fulfill their due-diligence duties when underwriting offerings of municipal securities.
March 19, 2012
HighTower’s Weissbluth: ‘Brokers Are Butchers; Fiduciaries Are Dietitians’Elliott Weissbluths two-and-a-half minute whiteboard animation video recently posted on YouTube calling brokers butchers and fiduciaries dietitians is drawing quite a bit of attention.