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.
Tax-Exempt Organizations Get Deadline Extension
By Marlene Y. SatterSome tax-exempt organizations got an extra present in their Christmas stockings, with the news from the IRS that they get extra time to file their annual returns in 2012.
December 23, 2011
FINRA Fines Barclays Capital on SubprimesFINRA has fined Barclays Capital $3 million for misrepresenting delinquency data and for inadequate supervision in connection with the issuance of RMBS.
December 22, 2011
Ron Paul’s Wacky but Influential Fed Policy (Salon)Since 1977, the Federal Reserve's dual mandate has been in place, designed to curb both inflation and unemployment. Now, a fast-spreading Republican philosophy aims to change this to a single mandate, removing the curb on unemployment.
December 22, 2011
4 Key Areas SEC Examiners Will Scrutinize in 2012: GiachettiClient privacy, branch supervision and money manager due diligence top Tom Giachetti's compliance list. And make sure your CCO has real power and knowledge.
December 22, 2011
Regulation Z: CFPB Releases the Final RuleThe long-awaited Truth in Lending Act regulation contains many references to credit disability and credit health insurance -- but is just a placeholder.
December 22, 2011
SEC Redefines ‘Accredited Investors’ Under Dodd-FrankValue of primary residence wont count toward net worth calculation required to invest in Reg D securities.
December 21, 2011
Bob Clark’s 2012 New Year’s Resolutions: Getting Digital, Thinking RationallyOur intrepid blogger and veteran surveyor of the advisor universe gets thoughtful about technology, civil discourse and regulation of financial services
December 20, 2011
Fla. Lawmakers Introduce LTCI Change BillThe measure would keep new laws and regulations from affecting guaranteed-renewable policies that were already in force.