The exam brings the SROIIA a little bit closer to acting as a self-regulatory organization over investment advisers. But will the SEC approve?
Taxpayers will be able to examine the qualifications of paid tax-return preparers in a database being built by the IRS that may be available as soon as 2013.
Influential group will endorse one of its own for small-firm seat; ramped-up regulations No.1 concern
In the high-stakes political game surrounding the adoption of a fiduciary standard, broker-dealer interest groups have outgunned their opposition in spending.
The creation of a self-regulatory organization for investment advisers took a step forward last week when the Consumer Federation of America dropped its longtime opposition to the idea, saying that an SRO would be better than relying on the chronically underfunded SEC as a regulator
Commission wants complaints lodged via e-mail, fax or online — but not by phone; what would McGruff think?
In a battle over Dodd Frank, House Republican want whistle-blowers to go through compliance departments first, then the SEC. Democrats say that's backwards.
Ramped-up role in spelling out tax implications of stock sales might well be 'differentiator' in landing prospects; boon to some, bane to others
$250K limit can easily be bumped up to $2M; CDARS, brokered CDs gaining in popularity
With everything Washington politicians have to worry about this year — gigantic budget deficits, getting re-elected, the disintegration of Arab countries, getting re-elected, the rotten economy and getting re-elected — there's a good chance the fiduciary-standard issue may not be resolved for quite some time.
The bicameral, bipartisan 12-person supercommittee must consider changes both to taxes and entitlements to make fundamental changes in the deficit trajectory. But will members be willing to break with party orthodoxy?
Retail accounts of many banks not money-spinners; Wells Fargo latest to join field
New unit named after maker of bank's trademark stage coach
Typical family office invests more than a quarter of its clients' assets with hedge funds; share could be even larger
Former registered sales assistant accused of misappropriating $750K from 22 clients in Palo Alto office
If Main Street blames Washington for debt rating and market decline, Congress could feel constituents' wrath
