Compliance

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.

Community bankers won a critical battle last month when regulators agreed to indefinitely delay implementation of Basel III capital and liquidity rules until various issues with the proposal could be worked out.

Fiscal Cliff? Take the Plunge: Look for Buying Opportunities

With the fiscal cliff approaching, it might be time to accelerate income into the remainder of this year.

Our legal expert explains what your assistant can and cannot do with trade processing.

Sure, investors still feel nervous, companies are hesitating to spend cash, and all attention is on fixed income and bond funds. But Neil Hennessy of Hennessy Funds insists equity mutual funds are the way to go.

My favorite lobbying move of the year came in early May, in, of course, Washington, D.C.

Hurricane Sandy disrupted financial markets in a way not seen since 1888, when a blizzard dumped 40 to 50 inches of snow across the tri-state area, forcing the New York Stock Exchange to close for two days that March

Rep. Barney Frank, D-Mass. has introduced a bill that would merge the Securities and Exchange Commission and the Commodity Futures Trading Commission to form the Securities Derivatives Commission.

Three out of four global investors expect President Barack Obama and congressional leaders to reach a short-term agreement to avert more than $600 billion in spending cuts and tax increases scheduled to begin on Jan. 1.

President Obama’s top economic adviser challenged Republican congressional leaders to put an offer on the table in fiscal-cliff talks and defended Obama’s debt-reduction proposals as concrete and detailed.

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.

The recent talk of a fiscal cliff compromise from Republicans and Democrats appear to have dissolved as leaders of both sides leveled pointed criticism at the other for failing to offer a truly balanced plan for taxes and spending cuts. So what's next?

The SEC has accused a Chicago advisor and his firm of defrauding clients and others by promising them a private equity fund the firm managed would “beat the market."