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 Furthers Strides Toward Global Accounting Standard
By Melanie WaddellFurthering its efforts to establish a global accounting standard, the SEC plans to issue a proposed rule this summer allowing foreign private issuers to choose...
May 14, 2007
SEC Won't Appeal Court RulingThe 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 exempted brokers from being subject to regulation as investment advisors in fee-based brokerage accounts, on the basis that the SEC had exceeded its authority under...
May 06, 2007
IRS Releases Final Roth Distribution RulesThe Internal Revenue Service has published a batch of rules that could affect financial services professionals who sell Roth account plans and professionals who help ...
May 06, 2007
IRS Releases Final Roth Distribution RulesThe Internal Revenue Service has published a batch of rules that could affect financial services professionals who sell Roth account plans and professionals who help ...
May 06, 2007
DOL Seeks Comment On Disclosure Of 401(k) Fees And ExpensesThe Department of Labor is asking interested parties to provide it with information they think participants in 401(k) plans should have concerning the fees and ...
May 06, 2007
DOL Seeks Comment On Disclosure Of 401(k) Fees And ExpensesThe Department of Labor is asking interested parties to provide it with information they think participants in 401(k) plans should have concerning the fees and ...
May 04, 2007
NAPFA Has Big Crowd, New Chairman-ElectThe National Association of Personal Financial Advisors (NAPFA) launched its annual meeting May 3 in Chicago with a very healthy crowd and a new chairman elect--advisor Tom Orecchio, who is currently serving as NAPFA treasurer.
May 04, 2007
Employers Ask For Postponement Of PPA Funding Compliance DateEmployer groups and an actuarial group say Congress should fine-tune the Pension Protection Act of 2006 and give them more time to comply with major ...