Regulation, Legal & Compliance

Displaying 11054 results
Brainiac required to determine if you'll be hit by Obama's higher taxes
REGULATION, LEGAL & COMPLIANCE MAR 05, 2012
Brainiac required to determine if you'll be hit by Obama's higher taxes

President seeks to draw line at $250K, but your mileage may vary; 'much more complicated than it sounds'

By John Goff
New cost basis rules could be basis for 'unhappy' clients
MUTUAL FUNDS MAR 05, 2012
New cost basis rules could be basis for 'unhappy' clients

Those who end up paying more taxes than required on stock sales may well have tough questions for their advisers

By Lavonne Kuykendall
TD a perfect 10 in aiding massive Ponzi scheme, claims Rothstein
REGULATION, LEGAL & COMPLIANCE MAR 05, 2012
TD a perfect 10 in aiding massive Ponzi scheme, claims Rothstein

Convicted scammer tars bank in sweeping accusation; also accuses lawyers

By John Goff
SIPC balks at Mets' request to throw out Madoff suit
REGULATION, LEGAL & COMPLIANCE MAR 05, 2012
SIPC balks at Mets' request to throw out Madoff suit

Asks judge to dismiss Sterling Partner's request for dismissal; trustee seeking $1B

By John Goff
Mets' owners shopped for fraud insurance: Madoff trustee
REGULATION, LEGAL & COMPLIANCE MAR 05, 2012
Mets' owners shopped for fraud insurance: Madoff trustee

Lawyer for Picard claims Sterling Partners priced policies to cover investments with Ponzi king; 'define fraud'

By John Goff
Lenny Dykstra sues JP Morgan over property deal gone bad
REGULATION, LEGAL & COMPLIANCE MAR 05, 2012
Lenny Dykstra sues JP Morgan over property deal gone bad

The former Mets and Phillies star says he didn't get the loan he wanted when he bought Wayne Gretzky's California mansion.

By Bloomberg
ALTERNATIVES MAR 04, 2012
Ex-real estate group head guilty of fraud

By Bruce Kelly
REGULATION, LEGAL & COMPLIANCE MAR 04, 2012
Broker charged with fraud in MedCap sales

By Bruce Kelly
REGULATION, LEGAL & COMPLIANCE MAR 02, 2012
Notable tax changes for 2012

Seven revisions, additions and restrictions from the tax man.

By John Goff
Scoundrel alert: SEC warns firms about policing of unauthorized trades
REGULATION, LEGAL & COMPLIANCE MAR 02, 2012
Scoundrel alert: SEC warns firms about policing of unauthorized trades

Wants advisory firms and brokerages to ramp up oversight; 'responsible risk-taking'

By Liz Skinner
REGULATION, LEGAL & COMPLIANCE MAR 02, 2012
Pimco to drop out of securities industry group: Sources

Powerful fund firm said to be angered by AFS' stance on mortgage settlement

By John Goff
Bonds, fake bonds: $6 trillion in bogus Treasury notes seized
FIXED INCOME MAR 02, 2012
Bonds, fake bonds: $6 trillion in bogus Treasury notes seized

Fake securities found in safety depost boxes in Zurich; date back to 1934

By John Goff
U.S. 'overmedicated' by pill-pushing Fed: Grant
REGULATION, LEGAL & COMPLIANCE MAR 02, 2012
U.S. 'overmedicated' by pill-pushing Fed: Grant

Claims free-money policy and other interventions prolonging -- not curing -- what ails the economy

By John Goff
REGULATION, LEGAL & COMPLIANCE FEB 29, 2012
NASAA warns of investor harm if crowd-funding amendment passes

A last-minute effort by three senators to add what they call crucial investor protections to a bill designed to help small companies raise capital fails to address worries by state regulators that states will be prevented from reviewing securities offerings made over the Internet.

By Mark Schoeff Jr.
INsider: Tax hike arguments based on iffy math
REGULATION, LEGAL & COMPLIANCE FEB 29, 2012
INsider: Tax hike arguments based on iffy math

Calculating how much money would have been raised if rates were higher is weird science, at best

By Jeff Benjamin
REGULATION, LEGAL & COMPLIANCE FEB 29, 2012
All-public panels are a hit with investors, Finra says

By Bloomberg
Opinion: Finra arbitration a wholesale abdication of legal rights
REGULATION, LEGAL & COMPLIANCE FEB 29, 2012
Opinion: Finra arbitration a wholesale abdication of legal rights

Odds stacked against investors, brokers

By Bloomberg
REGULATION, LEGAL & COMPLIANCE FEB 29, 2012
NASAA warns about shady characters infecting crowd funding

State securities regulators warned senators today about the potential dangers of legislation that would allow start-up firms to raise capital over the Internet.

By Mark Schoeff Jr.
Schapiro: Industry 'hue and cry' won't kill money fund reform
MUTUAL FUNDS FEB 28, 2012
Schapiro: Industry 'hue and cry' won't kill money fund reform

SEC boss says investors need protection -- and aims to provide it; 'working without a net'

By Liz Skinner
REGULATION, LEGAL & COMPLIANCE FEB 27, 2012
OppenheimerFunds misled investors about souped-up funds: SEC

Firm allegedly failed to disclose use of derivatives in two funds adequately; agrees to pay $35M to settle the charges

By JKEPHART