Regulation

Late night comedian David Letterman joked, “Everybody is talking about the fiscal cliff. And I'd be talking about the fiscal cliff too, if I knew what the hell it was.” Your clients and prospects are probably just as worried, and twice as confused.

Mark Cahn, general counsel at the Securities and Exchange Commission, is leaving the agency at the end of the year to return to the private sector.

Mark Cahn, general counsel at the Securities and Exchange Commission, is leaving the agency at the end of the year to return to the private sector.

A top White House official reiterated on Tuesday that President Obama is committed to the 28% cap on the value of tax exemptions for high income earners, which includes municipal bond interest.

The new platform will allow advisors to spend less time managing regulatory and compliance issues, and more time growing their businesses.

House Minority Leader Nancy Pelosi, D-Calif., said she would try to use a procedure known as a discharge petition to bring a Senate-passed bill for extending the middle-class tax cuts to the floor of the House.

CFOs in the U.S. remain uncertain about the future of the economy and their own businesses, according to a new survey.

For the better part of two years, Mary Schapiro told anyone who would listen that the federal government could not afford another bailout and that the money market mutual fund industry would have to backstop itself.

For the better part of two years, Mary Schapiro told anyone who would listen that the federal government could not afford another bailout and that the money market mutual fund industry would have to backstop itself.

Few Wall Street professionals were thrilled about the implementation of Dodd-Frank and other forms of regulation. But it seems to have been a blessing for those who specialize in compliance.