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.
David Tittsworth, IAA: The Extended 2011 IA 25 Profile
By James J. GreenAs executive director of the Investment Adviser Association, Tittsworth wears the title "Washington insider" as a badge of honor
May 20, 2011
Four-Year High in FINRA Enforcement Actions, Says Enforcement ChiefNearly 450 cases have been brought through April, and amount of fines has increased, says FINRA's Bradley Bennett.
May 20, 2011
10 Ways the IRS Can Help You Do Your JobThe 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 19, 2011
Dodd-Frank: Pension Plans Face Swaps SnarlBenefits groups fear conflicts in federal swaps regulations could accidentally make all swaps transactions involving swaps dealers and retirement plans illegal.
May 19, 2011
GOP Demands IRS, Obama Records on Political Donor Tax EnforcementFinance Committee members cite First Amendment rights in protecting nonprofits that primarily support political organizations, and the Republican Senators also requested records of conversations and correspondence from President Obama.
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.