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.
Gift Valuation Regs Emerge
By Allison BellThe Internal Revenue Service has completed work on regulations that set rules for gift donors who want the U.S. Tax Court to value gifts.
September 08, 2009
IRS Posts Settlement RulingThe Internal Revenue Service has issued advice on how a life settlement investor should handle interest costs when computing earnings and profits.
September 08, 2009
IRS Posts Settlement RulingThe Internal Revenue Service has issued advice on how a life settlement investor should handle interest costs when computing earnings and profits.
September 08, 2009
"Trust Doesn't Come and Go"Once an advisor has that trusted relationship with a client, can the advisor "go back" to a non-fiduciary relationship?
September 03, 2009
FINRA Settles With 3 Firms Over SecuritiesThe Financial Industry Regulatory Authority has announced today that it has agreed to settlements with 3 more firms to settle charges of failing to disclose the risks of auction rate securities they sold.
September 03, 2009
DOL Advances Rule For Stressed PlansThe U.S. Department of Labor has proposed a regulation to impose fines on sponsors of multiemployer defined benefit pension plans under financial stress if they fail to act to correct their problems.
September 03, 2009
FINRA Settles With 3 Firms Over SecuritiesThe Financial Industry Regulatory Authority has announced today that it has agreed to settlements with 3 more firms to settle charges of failing to disclose the risks of auction rate securities they sold.
September 03, 2009
DOL Advances Rule For Stressed PlansThe U.S. Department of Labor has proposed a regulation to impose fines on sponsors of multiemployer defined benefit pension plans under financial stress if they fail to act to correct their problems.