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: Let Us Help You
By Staff WriterThe Internal Revenue Service is encouraging business taxpayers and business associations to submit tax concerns to the the Industry Issue Resolution program.
August 03, 2009
FINRA Addresses SettlementsThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.
August 03, 2009
FINRA Addresses SettlementsThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.
August 03, 2009
Committee, Wealth Manager Editor Talk Standards With SEC CommissionersFiduciary standard is focus of DC meetings with Walter, Aguilar, other officials
August 03, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 02, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 01, 2009
Congress Presses Schapiro to Protect InvestorsWhile members of Congress praised SEC Chairman Mary Schapiro July 14 for acting quickly to institute changes at the beleaguered agency, lawmakers said more work...