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.
Ex-Countrywide CEO Mozilo Settles SEC Charges for $22.5 Million
By Marlene Y. SatterAngelo Mozilo, former CEO of Countrywide Financial, has agreed to pay a settlement of $22.5 million resulting from charges that he and two other executives misled investors during the subprime mortgage crisis.
October 12, 2010
IRS Adds W-2 Group Health Spending OptionEmployers that would like to report how much they spend on group health coverage for each employee will have a chance to do so in 2011.
October 12, 2010
IRS to Small Charities: Send Us an e-Postcard, or ElseSmall charities that fail to file a basic informational tax form by Oct. 15 risk losing their tax-exempt status under federal law, according to an article in the Oct. 3 Chronicle of Philanthropy.
October 12, 2010
ISS Report Details 100 Largest Companies’ Climate RisksISS Corporate Services released Tuesday a comprehensive report detailing how the 100 largest large-cap U.S. companies are responding to the SEC's climate risk guidelines, which the SEC passed in February.
October 11, 2010
IRS Adds W-2 Group Health Spending OptionEmployers that would like to report how much they spend on group health coverage for each employee will have a chance to do so in 2011.
October 10, 2010
At FPA Denver, Attempting to Corral Implementation of Dodd-FrankBoth sides of the regulatory equation were on display during a Sunday morning session at FPA Denver 2010.
October 08, 2010
FPA Study Finds High Satisfaction with Compliance SoftwareMost financial advisors don't use compliance software in their practice, but those who do report being satisfied with the technology, according to a new report.
October 07, 2010
FPA Study Finds High Satisfaction with Compliance SoftwareMost financial advisors don't use compliance software in their practice, but those who do report being satisfied with the technology, according to a new report.