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.
On the Clock: Time Short for Tax Preparers to Meet e-File Registration Deadline
By Michael S. FischerTime is short for any tax preparers who have yet to meet the January 2012 deadline to become Authorized IRS e-file Providers.
October 14, 2011
Medi-Scare: The Sequel (BenefitsPro.com)A much-debated topic on both sides of the political table, Medicare was protected from the late-summer debt-ceiling cuts, in part because the program impacts an influential group of voters. With round two of the talks fast approaching, however, it may soon be back on the chopping block.
October 14, 2011
A Cure for the VirusRaj Rajaratnam's 11-year sentence for insider trading is the heaviest yet thrown down for a crime some say has no clear victim. But is 11 years in prison for $75 million a fair trade or a short sell?
October 13, 2011
Roe: PPACA Grandfathering Has BackfiredA witness says the current rules favor stingier plans.
October 13, 2011
Roe: PPACA Grandfathering Has BackfiredA witness says the current rules favor stingier plans.
October 13, 2011
Harmonizing Advisor, BD Rules Back Burner Issue for SEC: fi360's Thompson SaysHarmonization of advisor and broker rules is an issue thats lower on the totem pole for the SEC now, Duane Thompson, senior policy analyst with fi360, said on Thursday. However, there are clearly areas where harmonization needs to occur.
October 13, 2011
Volcker Fallout? Morgan Stanley, Goldman Might Exit Bank BusinessSusquehanna Financial Group analyst David Hilder says Goldman Sachs and Morgan Stanley may consider dropping their status as bank holding companies to avoid increased costs related to the 'Volcker rule,' the latest fallout from the proprietary trading proposal released earlier this week.
October 13, 2011
New Hire Roundup: Conley Rises at SECThis week in new hires, Michael A. Conley was named deputy general counsel in the SECs office of general counsel. Also, Scott L. Lummer was named CIO and head of Savant Investment Groups new Santa Rosa office.