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.
GAO Tells SEC, CFTC to Set 'Clearer Goals' on Harmonization
By Melanie WaddellCFTC, SEC expect to have Joint Advisory Committee functioning by early summer
April 21, 2010
Goldman Sachs, Suitability and the Fiduciary StandardWhat duty does a broker/dealer have when creating securities for clients with opposing interests?
April 21, 2010
Goldman SachsNot the first time we've seen Goldman in the news, is it? Now the old Wall Street firm (1869) is being attacked by the SEC for being on both sides of trading activity. Here's my question: What is Goldman exactly?
April 20, 2010
FINRA to Investors in Reverse Convertibles: Caveat EmptorWhile the high yields are attractive for some investors, it is essential to understand all of the risks behind the high yields of reverse convertibles. Enter with eyes wide open.
April 19, 2010
IRS Posts Address ProceduresThe Internal Revenue Service has developed a revenue procedure that makes it clear that individual taxpayers can use forms on the IRS website to give it changes of address.
April 19, 2010
SEC Charges Goldman Sachs With FraudCharges related to mortgage markets and "undisclosed" interests that helped hedge fund pocket $1 billion.
April 19, 2010
IRS Posts Address ProceduresThe Internal Revenue Service has developed a revenue procedure that makes it clear that individual taxpayers can use forms on the IRS website to give it changes of address.