January 30, 2012 - Will the recent SEC alert chill the use of social media by asset management firms? Or simply put it on ice?
January 27, 2012 - Investors are to guard against a two-step process where fraudsters gain access to their email accounts and then instruct the firms involved to transfer money out of their brokerage accounts.
January 26, 2012 - The head of the Senate Permanent Subcommittee on Investigations called Thursday for an end to private letter rulings from the Internal Revenue Service which have essentially opened the floodgates for mutual funds to speculate in commodities from offshore tax havens such as the Cayman Islands.
January 19, 2012 - Republican opponents of the plan expressed fears that the measure will restrict liquidity in financial markets and ultimately will hurt economic growth.
January 17, 2012 - The SEC said UBS overstated the value of $22 million in mortgage-backed securities held in three mutual funds.
January 16, 2012 - Planners have taken note of the fact that clients with incomes of $1 million or more were twice as likely to be audited by the IRS in 2011 than they were in 2009. Several say they are taking steps in anticipation of still greater vigilance on the part of the agency.
January 16, 2012 - The Financial Services Institute, the Financial Services Roundtable, the Securities Industry and Financial Markets Association and the American Council of Life Insurers are weighing in.
January 11, 2012 - Lawmakers have significantly different ideas about how the final rule should be crafted.
January 9, 2012 - The Securities and Exchange Commission says it will no longer let companies "neither admit nor deny" charges in settling cases it brings against them.
January 6, 2012 - 12.48% of taxpayers with income of $1 million or higher were subjected to audits in fiscal year 2011, compared to 8.36% in fiscal year 2010.
January 5, 2012 - The Securities and Exchange Commission has charged an Illinois-based investment adviser with using LinkedIn and other social media channels to attempt to sell $500 million in fictitious securities.
January 3, 2012 - Terms of the settlement between Trust Company of the West and Jeffrey Gundlachs firm, DoubleLine Capital, were not disclosed.
December 28, 2011 - FINRA has fined Credit Suisse Securities $1.75 million for failing to properly supervise short-selling activity.
December 26, 2011 - The Securities and Exchange Commission has closed a loophole that previously allowed individuals to artificially inflate net worth before investing in unregistered securities offerings.
December 26, 2011 - The ruins of MF Global prove, if the financial crisis has not already, that agency banking focus on executing client transactions instead of speculating on asset prices - must replace speculative proprietary trading.