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.
SEC Begins Fiduciary Fact-Finding Mission
By Arthur D. PostalThe 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 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.
March 29, 2012
IRS Already Gearing Up for Health-Care Crackdown (Fox Business)Fate of health reform law unknown, the IRS is getting ready anyway.
March 27, 2012
Advisors Weigh In On Client Advisory BoardsA financial advisors group on LinkedIn.com recently had a lively discussion of client advisory boards, started by an advisor who asked for the opinions of colleagues who had established a board
March 26, 2012
How to Pass an SEC Limited Scope ExamIf you can demonstrate how well you're handling risk in an SEC 'mini-exam,' you may be able to delay a full-blown exam for years.
March 26, 2012
What ‘Better’ Regulation Might Look LikeA favorite complaint of advisors is regulation.
March 26, 2012
Top 5 Tax Audit Triggers to AvoidA few easy steps can help keep the IRS from digging too deeply into your clients tax returns.
March 23, 2012
Witnesses: Rigid Return-to-Work Rules Can BackfireTom Harkin taps executives for ideas about how to reduce the effects of disabilities on employment.