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.
6 Key IRS Cost-Basis Reporting Changes for Advisor-Clients: Fidelity Report
By Danielle AndrusFidelity released a report on Monday to help advisors "understand differences between the proposed cost-basis reporting requirements and those recently finalized by the Internal Revenue Service."
December 07, 2010
Dodd-Frank Swaps: Insurers Eye "Substantial Position" DefinitionThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission cite insurer comments several times in a draft that would implement part of the swaps provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
December 06, 2010
Feds Tackle Swaps RulesThe U.S. Securities and Exchange Commission is taking another step toward defining the terms that will be used in implementing the swaps provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
December 06, 2010
Feds Tackle Swaps RulesThe U.S. Securities and Exchange Commission is taking another step toward defining the terms that will be used in implementing the swaps provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
December 06, 2010
Fiduciary Standard Survey OpensMake your feelings about fiduciary duty known in an exclusive fi360-AdvisorOne survey.
December 06, 2010
Fiduciary Standard Survey OpensMake your feelings about fiduciary duty known in an exclusive fi360-AdvisorOne survey.
December 03, 2010
FinCEN: Keep Your SARs to YourselfThe Financial Crimes Enforcement Network and other federal agencies have developed new rules on suspicious activity report confidentiality.
December 03, 2010
FinCEN: Keep Your SARs to YourselfThe Financial Crimes Enforcement Network and other federal agencies have developed new rules on suspicious activity report confidentiality.