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.
Private Placements: FINRA Guidance
By Kate McBrideFINRA issues a Regulation D reminder.
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.
April 19, 2010
Earnings, Goldman, Reform Bill, and Taxes: Editor's Choice for the Week of April 19, 2010What's happening this week.
April 16, 2010
Bernanke Says U.S. Needs to Make 'Difficult Choices' on DeficitFed chief wants decisive plan to reduce debt
April 16, 2010
Obama Defends Senate Reform BillPresident Obama today criticized opponents of financial services reform, saying failure to enact such legislation "would be leaving taxpayers on the hook if a crisis like the one we've just seen ever happens again."