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.
Bachus to Introduce SRO Redraft Early Next Week: Industry Officials
By Melanie WaddellRep. Bachus' revised bill comes despite economic analysis saying SRO would cost twice as much as funding the SEC.
April 10, 2012
IRS Targeting Smaller Businesses--Here's How to Fight Back (Forbes)The IRS is also targeting households with income over $1 million; audits increased 156% from 2008 to 2011.
April 10, 2012
IRS Targeting Smaller Businesses--Here's How to Fight Back (Forbes)The IRS is also targeting households with income over $1 million; audits increased 156% from 2008 to 2011.
April 09, 2012
Bernanke Offers No QE3 Salve, Talks Up Regulatory RoleThe Fed chairman said Monday night that money market funds and asset-backed securities were aspects of a shadow banking system that created potential channels for the propagation of shocks through the financial system and the economy.
April 05, 2012
FINRA Panel: David Lerner Associates Sold Marked-Up Munis, CMOsA FINRA hearing panel ruled on Wednesday that Long Island-based David Lerner Associates charged excessive markups on municipal bond and CMO transactions over a two-year period.
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.