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.
IRS Looks At Use Of Check To Move Annuity Funds
By Staff WriterThe Internal Revenue Service has come out with a holding that could affect efforts to shift assets from one annuity to another without triggering income ...
May 01, 2007
The Original SEC RuleDownload a copy of the Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor...
May 01, 2007
A Battle Won, not the WarIt's hard not to celebrate the Financial Planning Association's big win over the SEC in a federal appellate court as an instance of David slaying...
May 01, 2007
Victory for the FPAIs it any wonder that this issue includes four stories about the FPA winning its lawsuit against the SEC over the so-called Merrill Lynch rule?...
May 01, 2007
Exemption Vacation"To be, or not to be?" a fiduciary (with all apologies to Bill Shakespeare) is the question of the hour for broker/dealers. While nobody is...
April 30, 2007
SEC Investing Education Chief ResignsThe Securities and Exchange Commission announced that Lori Schock, the acting director of the Office of Investor Education and Assistance (OIEA), left the agency April 27 to become director of outreach at the Center for Audit Quality in Washington, D.C.
April 26, 2007
Reforming the SECSome of the nation's top financial leaders and lawyers say reforming the Securities and Exchange Commission's regulatory process would indeed help the U.S. capital markets stay competitive.
April 26, 2007
Investor Forecast: FogThe Consumer Federation of America (CFA), a consumer advocacy organization, and Zero Alpha Group (ZAG), a group of fee-only investment advisors, unveiled in an April 26 conference call results of a survey showing that individual investors remain very unclear about whether the financial professionals they deal with for investments and...