Court of Appeals

• An IRS Tale of Two Cities

  By Julian Block  |  January 1, 2008

  An ever-growing number of frequent flyers are "commuter couples"--those who live apart in an effort to keep their jobs or advance their careers. By one...

• SEC Changes Principal Trading Rule

  By Staff Writer  |  September 21, 2007

  The SEC announced September 20 a temporary rule regarding principal trades with investment advisory accounts, Section 206(3) of the Advisers Act, which is intended to make October 1 compliance with the rollback of the Broker/Dealer Exemption Rule, which exempted brokers from regulation as an investment advisor even when they were...

• Policing Hedge Funds

  By Melanie Waddell, AdvisorOne  |  July 11, 2007

  To restore the SEC's enforcement power in policing hedge funds post the Goldstein ruling, the SEC on July 11 adopted a new antifraud rule under...

• The B/D Exemption Rule Is Gone, What's Next?

  By Staff Writer  |  July 1, 2007

  Now that the Broker/Dealer Exemption Rule 202(a)(11)-1 which exempted brokers from regulation as an investment advisor even when they were being paid fees for investment...

• Group Think

  By Staff Writer  |  July 1, 2007

  The Financial Planning Association (FPA) told the U.S. Court of Appeals for the D.C. Circuit on June 1 that although it does not oppose the...

• Upgrades

  By Staff Writer  |  July 1, 2007

  Standard & Poor's is adding an index for Muslims who want to participate in the markets, while still conforming to Shariah, or Islamic law. The...

• Protect Yourself

  By Melanie Waddell, AdvisorOne  |  July 1, 2007

  When it comes to protecting themselves from disgruntled clients and the long arm of regulators, advisors and their broker/dealers have to be on the ball....

• FPA Okays SEC's Four-Month Conversion Request

  By Melanie Waddell, AdvisorOne  |  June 4, 2007

  The Financial Planning Association (FPA) told the U.S. Court of Appeals for the D.C. Circuit June 1 that while it does not oppose the SEC's request that it give broker/dealers four months to convert their fee-based brokerage accounts under the court's ruling in the broker/dealer exemption case, the court should...

• A technology take on the Merrill Rule

  By Marc Butler  |  June 1, 2007

  At the end of March, the U.S. Court of Appeals for the District of Columbia ruled that the Securities and Exchange Commission overstepped its bounds...

• SEC Won't Appeal Court Ruling

  By Melanie Waddell, AdvisorOne  |  June 1, 2007

  The Securities and Exchange Commission has decided not to appeal the March 30 ruling by the U.S. Court of Appeals for the D.C. Circuit, which...