Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
SEC Resolves Fee Case
By Allison BellThe U.S. Securities and Exchange Commission has negotiated a settlement with an insurer-owned money manager over fund fee concerns and fee disclosure concerns.
May 26, 2009
IRS Answers EOLI QuestionsA grantor trust may be able to be the owner of an employer-owned life insurance contract, but a qualified plan that is supported by a trade or business cannot.
May 26, 2009
IRS Answers EOLI QuestionsA grantor trust may be able to be the owner of an employer-owned life insurance contract, but a qualified plan that is supported by a trade or business cannot.
May 26, 2009
Be Careful What You Wish ForRecently, I attended the Fi360 Conference in Scottsdale. The conference was excellent, and as you might expect from a conference affiliated with the Foundation for...
May 22, 2009
Investment management compliance during a market crisisThe Investment Adviser Association, ACA Compliance Group, ACA Insight and Old Mutual Asset Management released the fourth annual Investment Management Compliance Testing Survey this week. The...
May 21, 2009
Schapiro: Shift in oversight damages consumer financial product regulationSecurities and Exchange Commission Chairman Mary Schapiro is arguing against a proposal from the Obama administration, which is reportedly considering the creation of a consolidated...
May 21, 2009
EBSA Delays Advice RulesAn arm of the U.S. Department of Labor will be taking more time to implement regulations governing delivery of investment advice to retirement plan participants.
May 21, 2009
Stop StressingThe federal government has completed its stress tests of the nation's 19 largest banks and bank-like institutions and in this era of trillions of dollars, ...