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.
Likely on Its Way: Greater Compliance Burden for Advisors
By David TittsworthA little historical perspective on investment advisor registration: past is prologue.
March 13, 2012
JOBS Bill Under Fire by SEC, NASAA, Consumer AdvocatesA bill that started out as seven separate pieces of legislation intended to benefit business startups and stimulate job creation is coming in for criticism as it heads to the Senate, as opponents say that it does away with consumer protection.
March 13, 2012
What Problem Exactly Is DOL Trying to Solve by Redefining ‘Fiduciary?'One thing we do know: the significant unintended consequence of forcing higher fees for IRA investors.
March 12, 2012
Senate to Introduce Bill to Help Small BusinessesThe Senate is set to come out with its version of legislation to help small businesses raise capital, paralleling a measure that cleared the House in a somewhat different form last week by a large bipartisan margin.
March 12, 2012
FINRA’s Top 5 Enforcement Issues of 2011A survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.
March 12, 2012
The Exchange Regulations Are HereHere's a link to the 644-page text of the final rule, which lets exchanges sell coverage through Web brokers.
March 12, 2012
IRS’ 5 Tax Tips for Newlyweds, DivorceesIf your client has just gotten married or divorced, the last thing you want is for something to further complicate tax returns, or throw a snag into the processing of a refund.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.