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.
For Super SRO, SIRA Doesn't Say It After All
By Staff WriterThe 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 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...
July 01, 2007
Stable Value or Not?As the Department of Labor prepares to finalize its proposed regulation on qualified default investment alternatives (QDIAs) in 401(k) plans, the debate rages on as...
June 28, 2007
IRS Publishes Charitable Lead Annuity Trust SamplesThe Internal Revenue Service has released two batches of guidance of interest to advisors in the charitable planning market.The new revenue procedure documents provide annotated ...
June 28, 2007
IRS Publishes Charitable Lead Annuity Trust SamplesThe Internal Revenue Service has released two batches of guidance of interest to advisors in the charitable planning market.The new revenue procedure documents provide annotated ...
June 27, 2007
Commenters Clash Over FMLA Intermittent Leave RulesEmployers say some reasonably healthy workers are using the federal Family and Medical Leave Act regulations to fine-tune their schedules.U.S. Department of Labor officials have ...