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.
Kanjorksi: Bond Insurer Mess Justifies OFC Effort
By Arthur D. PostalThe current turmoil in the bond insurance industry shows that insurers may need the option of choosing to be regulated by a federal agency, a ...
February 01, 2008
IRS Postpones Some PPA Effective DatesThe Internal Revenue Service has tried to smooth out timing of the implementation of some regulations related to the Pension Protection Act of 2006.The IRS ...
February 01, 2008
IRS Postpones Some PPA Effective DatesThe Internal Revenue Service has tried to smooth out timing of the implementation of some regulations related to the Pension Protection Act of 2006.The IRS ...
February 01, 2008
Big Years Ahead for Auto EnrollmentAsk David Wray, president of the Profit Sharing/401(k) Council of America, what the retirement landscape will look like in 2008, and he's quick to point...
February 01, 2008
A GroundbreakerNow that the much-anticipated Rand study of the broker/dealer and investment advisory industries is out, it promises to be the biggest topic of discussion for...
February 01, 2008
SEC Releases RAND Report; Industry Groups Share ConcernsThe Securities and Exchange Commission has shared the findings of a RAND Corporation study that compares how different regulatory systems for broker-dealers and investment advisors...
February 01, 2008
The New ParadigmOn the face of it, the idea of marrying operations and compliance seems natural. But such a marriage is not about combining two separate functions...
February 01, 2008
Out to LunchCompete or comply? When it comes to the tried and true marketing strategy of meal-included seminars, FAs are feeling the heat of an intensifying spotlight...