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.
IRS Starts Implementing Small Group Tax Credit
By Staff WriterThe Internal Revenue Service has come out with a table that small employers can use to calculate the small employer health insurance credit for the 2010 taxable year.
May 03, 2010
How to comply in a virtual worldHow can you steer clear of a PR nightmare waiting to happen?
May 02, 2010
Fiduciary Standard Back in Play in Dodd Reform BillA uniform fiduciary standard for all providers of advice is back on the table in the Senate.
May 01, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
May 01, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
May 01, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
May 01, 2010
Editor's Note: Another Modest ProposalHarry Markopolos, one of our 30 most influential people in the independent advice business over the past 30 years that Investment Advisor has been published...
May 01, 2010
The Great UnfixingIt was known as "May Day" or "Mayday," the latter spelling suggesting the distress with which it was regarded in some financial circles. On May...