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.
9 Tax Tips for Charitable Donations—Slideshow
By Michael S. FischerAmericans in significant numbers continue to support charities and to deduct the contributions on their tax returns. Unfortunately, the IRS sometimes disallows the deductions. The agency has tips for taxpayers to ensure they get the most out of their contributions.
August 29, 2011
SRO Bill Likely to Follow Sept. 13 House HearingWashington insiders say that after the capital markets subcommittee, chaired by Rep. Scott Garrett, R-N.J., holds its SRO hearing, legislation is likely to follow.
August 29, 2011
IRS Details Tax Returns Filed for Largest Estates in 2007About 37,000 estate tax returns were filed for people who died in 2007 with total gross estates of $2 million or more, the filing threshold for that year, according to the summer 2011 issue of the Statistics of Income Bulletin released Friday by the IRS.
August 28, 2011
IRS: Yes, 2009 Was Hard on AgentsThe Internal Revenue Service has published new, detailed sole proprietorship return data for 2009 that hint at how tough 2009 was for small and midsize insurance agencies and brokerage firms.
August 24, 2011
Dodd-Frank’s New Rules for Mid-Sized AdvisorsWhen the Dodd-Frank Act was passed on July 21, 2010, the intent was to create a foundation for financial regulatory reform.
August 24, 2011
Despite Fiduciary Critics, Schapiro and Borzi Charge AheadTwo of the nations top regulatorsMary Schapiro and Phyllis Borzicontinue to face a barrage of criticism over their decision to do what they believe is best for investors: expanding the definition of whos a fiduciary.
August 24, 2011
FINRA Warns Investors to Beware of Gold Stock ScamsIn an interview with AdvisorOne on Tuesday, S&P gold equity analyst Leo Larkin said the run-up in gold prices may be overplayed in a heated market. At the same time, FINRA warned against scams.
August 24, 2011
Real SEC Reform or Half Measure?Does the SEC Modernization Act have a real shot at bringing 'comprehensive reform' to the SEC?