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.
10 Ways the IRS Can Help You Do Your Job
By Michael S. FischerThe IRS 2011 Nationwide Tax Forums this summer--designed for CPAs and CFPs-- will travel to Atlanta, Orlando, Dallas, San Jose, Las Vegas and D.C.
May 18, 2011
SEC Proposes Rating Agency Rule ChangesThe U.S. Securities and Exchange Commission has proposed new regulations that could change the way rating agencies do business.
May 18, 2011
SEC Proposes Rating Agency Rule ChangesThe U.S. Securities and Exchange Commission has proposed new regulations that could change the way rating agencies do business.
May 18, 2011
SEC Proposal Cracks Down on Credit Rating AgenciesThe SEC on Wednesday approved sweeping proposed new rules and amendments to existing rules designed to implement provisions of the Dodd-Frank Act regarding improving the regulation of credit rating agencies.
May 17, 2011
Scott Garrett, House Financial Services Subcommittee: The Extended 2011 IA 25 ProfileSince taking the helm of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises in January, Rep. Scott Garrett’s goals have been clear.
May 17, 2011
FINRA Launches Online Disciplinary Action DatabaseThe Financial Industry Regulatory Authority (FINRA) launched on Monday the FINRA Disciplinary Actions Online database, a web-based searchable system allowing investors to access brokers disciplinary actions via FINRAs website.
May 17, 2011
IRS Offers Tax Relief for Tornado Stricken AreasDeadline to file tax returns extended; clarity on declaring P&C losses
May 16, 2011
Eileen Rominger, SEC: The Extended 2011 IA 25 ProfileIntroducing Eileen Rominger to a room full of compliance professionals, David Tittsworth coaxed laughter from the audience when he said, “I think it’s fantastic that she’s not an attorney. She’s a real portfolio manager!”