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.
GAO: PBGC Needs A Bigger, More Active Board
By Staff WriterCorporate governance weaknesses may be leaving the Pension Benefit Guaranty Corp. vulnerable to mismanagement.Barbara Bovbjerg, an analyst with the U.S. Government Accountability Office, suggests that ...
July 15, 2007
IRS To Reconsider Distribution Panel RulingsThe Internal Revenue Service says it is looking into the possibility that some private letter rulings dealing with trusts may conflict with revenue rulings issued ...
July 13, 2007
For Super SRO, SIRA Doesn't Say It After AllThe new self-regulatory organization that, once approved by the SEC, will combine NASD and NYSE's regulatory arms, will have a different name than the one...
July 10, 2007
IRS To Reconsider Distribution Panel RulingsThe Internal Revenue Service says it is looking into the possibility that some private letter rulings dealing with trusts may conflict with revenue rulings issued ...
July 01, 2007
New SIRA Wants Cooperative EffortThe combined New York Stock Exchange and National Association of Securities Dealers regulatory body will work to ensure the financial services sector is not caught ...
July 01, 2007
New SIRA Wants Cooperative EffortThe combined New York Stock Exchange and National Association of Securities Dealers regulatory body will work to ensure the financial services sector is not caught ...
July 01, 2007
Compliance CrisisBrokers are losing much valuable time to compliance issues each week, according to a new study by Katherine Vessenes of Vestment Advisors, Inc. of Minneapolis....
July 01, 2007
Group ThinkThe 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...