Compliance

Our legal expert discusses a new calculation by the SEC.

U.S. officials see Foreign Account Tax Compliance Act as a significant undertaking for financial institutions.

Here’s an interactive slide show detailing the best investment ideas for this election year from seven financial advisors practicing throughout the country.

Former Morgan Stanley Smith Barney financial advisor Victor Manuel Rivera Jr. pled guilty in a New Jersey federal court to stealing more than $90,000 from the accounts of his clients.

The SEC filed a complaint this month accusing Brenda Eschbach of misappropriating over $3 million of her clients’ funds.

Regulators are stepping up their efforts to safeguard investors and their money from unscrupulous financial advisors. Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.

As brokers and investors are all too aware by now, IRS Form 1099-B, on which brokerage transactions are reported, has a new look this year and advisors and clients are scrambling to makes sense of it.

NYSE Euronext said its annual report to the SEC that it incurred $85 million of legal, banking and other expenses in 2011 from its unsuccessful plan to merge with Deutsche Boerse.

Raymond James clears one hurdle in getting early termination of the waiting period in connection with the $930 million purchase of Morgan Keegan

FSI needs a bit more time to respond, and some of the data requests seem misguided, according to a letter it sent to the Labor Department.

Peter H. Sargent explains why he chose Janney. A 20-year veteran and top producer at Merrill, Sargent boasts $250 million in client assets.

FINRA is seeking input regarding changes it is weighing with respect to BrokerCheck. The proposed changes prompted a swift and strong response from readers on Financial Planning’s discussion boards.

The new regulations follow a model that the North American Securities Administrators Association passed in December.

State Street’s SPDR Morgan Stanley Technology ETF MTK announced that it had received a $108,328 payment from a class action settlement related to Juniper Networks, Inc. The SPDR has slightly more than 2.7 million shares outstanding, meaning that the payment will translate into just over 4 cents of gain per share.

BATS Global Markets said the SEC's Division of Enforcement is looking at its methods for developing new order types as well as how it develops its information technology systems.

The Commodity Futures Trading Commission voted to approve new rules governing, among other things, when swaps dealers can delay reporting on the size and price of their block trades.

Here’s an interactive slide show detailing five advisors who have already found themselves in the SEC’s crosshairs this year.

New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a broker’s termination as well as scores on industry qualification exams.

The capital markets industry will increase its spending 8.5 percent a year on technology that combats financial crimes, through 2015.

“With our economy in the shape it’s in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill,” according to a statement from FSI President and CEO Dale Brown.