Compliance

The agency has asked firms to comment on a proposed rule and some potentially divisive modifications.

Wall Street brokers who are lured to new firms with signing bonuses of at least $50,000 would be required to tell their clients under a rule proposed by the Financial Industry Regulatory Authority.

Tax forms from the federal government and many states may be delayed in the aftermath of the fiscal cliff legislation, one of the largest tax preparation chains warned.

There's nothing quite like the feeling of coming out from under a guardian's wing.

Advisors anticipate some additional tax questions and continued concern for clients in the high net worth bracket.

President Barack Obama had a warning for John Boehner at a Dec. 13 White House meeting: Stop opposing higher tax rates for top earners, or the president would dedicate his second term to blaming Republicans for a global recession.

Bruce Karpati, chief of the Securities and Exchange Commission’s enforcement division's asset management unit, has a few choice words for hedge funds looking to get into the mutual fund space.

The banking industry is expected to benefit marginally from the deal to avert the fiscal cliff, but looming fights over tax reform and the debt ceiling remain.

After a wild ride toward the fiscal cliff, many financial advisors now say the frenzy was worth it -- even if clients' worst fears failed to materialize.

Bruce Karpati, chief of the Securities and Exchange Commission’s enforcement division's asset management unit, has a few choice words for hedge funds looking to get into the mutual fund space.

The Internal Revenue Service released new income tax withholding tables for 2013 late Monday to reflect the expiration of the 2001 and 2003 Bush tax cuts and the more recent payroll tax cuts of 2011 and 2012, but noted that the guidance would be modified if Congress acts.

Market participants wonder if the Justice Department will indict more firms and individuals for bid-rigging of bond-related investment and derivatives contracts.

The U.S. House passed a bill undoing income tax increases for more than 99 percent of households, giving a victory to President Barack Obama even as Republicans vowed to fight him in coming weeks for spending cuts in exchange for raising the debt ceiling.

The budget deal struck by the White House and Senate Republican leaders, if it becomes law, probably would slow the U.S. economic recovery without stopping it.

Financial institutions and consumer groups are each trying to influence a report that will help determine the rules for settling customer disputes.

The FDIC signed off on an 18% cut in funding for 2013, but it is still dealing with elevated numbers of troubled banks and Dodd-Frank-related workload.

Our legal expert explains how to keep a Series 7 license fresh after moving from a broker-dealer.

The U.S. House of Representatives doesn’t plan any votes on the federal budget tonight, meaning that Congress for now will fail to avert $600 billion in tax increases and spending cuts set to start at midnight.

Senate Minority Leader Mitch McConnell said lawmakers in Congress are “very, very close” to a deal to avert $600 billion in tax increases and spending cuts set to start at midnight.

The White House and congressional negotiators agreed to contours of a budget deal including tax cut extensions, with the remaining sticking point being how to avert automatic federal spending cuts, said an official familiar with the talks.