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.
Sircon to Acquire Kaplan Compliance
By Staff WriterSircon has agreed to buy the assets of Kaplan Compliance Solutions from the Washington Post Company.
August 23, 2011
New Institute for Fiduciary Standard Elevates the ConversationThe creation of the Institute, founded by Knut Rostad and a bevy of industry leaders, is the next necessary step to change the conversation about a universal fiduciary standard.
August 22, 2011
Sircon to Acquire Kaplan ComplianceSircon has agreed to buy the assets of Kaplan Compliance Solutions from the Washington Post Company.
August 22, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.
August 19, 2011
Feds: Is a Stable Value Fund a Swap? If So, What Then?Federal swaps regulators are asking whether the contracts at the heart of stable value funds should be regulated as swaps, and, if so, how that might affect the funds' cost and availability.
August 19, 2011
IRS’ Top 7 Tax Tips for Job SeekersOur favorite government agency offers helpyes, helpon how to save tax dollars when looking for a job.
August 19, 2011
Appeals Court Greenlights Charitable Formula ClauseThe 9th U.S. Circuit Court of Appeals recently upheld the validity of a charitable formula clause.
August 18, 2011
Noncompliance Roundup: Stifel, Nicolaus; Citigroup; JanneyA roundup of recent charges, penalties and settlements--this week relating to fraud, insider trading and failure to supervise--from the SEC and FINRA.