Regulation and compliance
Regulation and compliance
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The U.S. Small Business Administration, in conjunction with the Treasury Department, released a loan forgiveness application for the SBA’s troubled Paycheck Protection Program, along with detailed instructions for the application.
May 18 -
Given that I must disclose on my Form ADV that we accepted the aid, I had to ask myself difficult questions about possibly over-zealous regulatory scrutiny as well as my firm's reputation, this advisor writes.
May 15 -
The Internal Revenue Service guidance caused some consternation among some small businesses and tax experts.
May 14 -
Little-known provisions include the economic injury disaster loan program, the employee retention credit and even an option to defer some payroll taxes.
May 14 -
One French trade group reports that the country’s managers reduced research budgets by as much as 75% between 2017 and 2019.
May 14 -
Despite recent upheaval, some clients will still be shocked their portfolios have shown declines.
May 13 -
The firm allegedly provided some clients with misleading information about which charges they were actually paying for.
May 12 -
For clients fortunate enough to not need them, minimum distributions are not required this year in most — if not all — cases.
May 10 -
The Internal Revenue Service has posted information on how people who weren’t supposed to receive their economic impact payments for the novel coronavirus pandemic should return the money.
May 6 -
From digital advice to fee transparency and fintech investment, the pandemic has touched almost every corner of wealth management.
May 5 -
There's a great deal of help for businesses in the CARES Act and the FFCRA.
May 5 -
Financial advisors, broker-dealers, custodians and other firms are trying to do their part amid a public health and economic crisis.
May 1 -
Small businesses that manage to get their Paycheck Protection Program loans forgiven may find themselves losing valuable tax breaks, according to new guidance from the Internal Revenue Service.
May 1 -
As soon as the program was announced, I not only advised my small business clients to apply; I also tried to figure out how to take advantage of it myself.
April 30 -
People born in 1960 could see a permanent cut in their benefits without action by policymakers, an expert warns.
April 28 -
Charles Doraine settled with the Financial Industry Regulatory Authority on Monday without admitting or denying FINRA’s findings.
April 28 -
Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.
April 27 -
XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.
April 23 -
My broker-dealer warned that since it’s a forgivable loan it could be seen as a compromise with creditors.
April 22 -
About 5,500 large customers of the commercial banking business applied for funding. Nearly all of them got loans.
April 22


















