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.
SEC May Postpone Midsize Advisor Jurisdiction Shift
By Arthur D. PostalThe Securities and Exchange Commission is considering a staff request that it delay until the first quarter of 2012 the date by which midsize advisors must transfer to state regulation.
April 12, 2011
IRS alert: The tax advantages of annuitiesA recent report by The Insured Retirement Institute (IRI) shows what many of us already knew: there are tax advantages to annuities--duh.
April 12, 2011
SEC May Postpone Midsize Advisor Jurisdiction ShiftThe Securities and Exchange Commission is considering a staff request that it delay until the first quarter of 2012 the date by which midsize advisors must transfer to state regulation.
April 12, 2011
IRS alert: The tax advantages of annuitiesA recent report by The Insured Retirement Institute (IRI) shows what many of us already knew: there are tax advantages to annuities--duh.
April 12, 2011
The Secret Battle to Save ArbitrationIf a fiduciary standard is applied to all advice-givers, will arbitration be applied to all investor grievances?
April 11, 2011
IRS: Recession Halved 2009 Net Capital GainsThe wealthy got much poorer in 2009, according to preliminary Internal Revenue Service individual income tax statistics.
April 11, 2011
IRS: Recession Halved 2009 Net Capital GainsThe wealthy got much poorer in 2009, according to preliminary Internal Revenue Service individual income tax statistics.
April 11, 2011
UBS to Pay FINRA Fine, Restitution to Investors in Lehman PPNsUBS to pay $2.5 million to FINRA, $8.25 million to investors, for omissions and statements made that effectively misled some investors.