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 Proposes 2008 Pension Mortality Tables
By Staff WriterThe Internal Revenue Service is trying to give pension plan administrators and others the figures they need to calculate defined benefit plan present values and ...
May 23, 2007
BISYS Settles With SECA financial services support company says it has completed previously announced efforts to respond to an investigation by the U.S. Securities and Exchange Commission.BISYS Group ...
May 20, 2007
SEC Decides Not To Appeal Broker-Dealer RulingThe U.S. Securities and Exchange Commission says it will drop a court battle to exempt broker-dealers who collect fees as well as commissions from the ...
May 20, 2007
SEC Decides Not To Appeal Broker-Dealer RulingThe U.S. Securities and Exchange Commission says it will drop a court battle to exempt broker-dealers who collect fees as well as commissions from the ...
May 18, 2007
SEC Furthers Strides Toward Global Accounting StandardFurthering 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 16, 2007
FPA Applauds SEC Decision Not to AppealThe Financial Planning Association said it is pleased that the SEC will not appeal the court ruling exempting brokers from being subject to regulation as investment advisors in fee-based brokerage accounts
May 15, 2007
SEC Decides Not To Appeal Broker-Dealer RulingThe U.S. Securities and Exchange Commission says it will drop a court battle to exempt broker-dealers who collect fees as well as commissions from the ...
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...