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.
A Battle Won, not the War
By James J. GreenIt'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...
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...
April 24, 2007
DOL Seeks Advice On 401(k) Fee DisclosureWASHINGTON--The Department of Labor is asking interested parties to provide guidance on what kind of information participants in 401(k) plans should have about the fees ...
April 24, 2007
DOL Seeks Advice On 401(k) Fee DisclosureWASHINGTON--The Department of Labor is asking interested parties to provide guidance on what kind of information participants in 401(k) plans should have about the fees ...
April 18, 2007
UnitedHealth To Put CalPERS Board Proposal In ProxyA large health insurer will give investors a chance to vote on whether the company should be more inviting to some outside nominees for seats ...
April 18, 2007
IRS Says Archer MSA Program Can Keep GoingThe Archer Medical Savings Account is small enough that it can keep going for another year.Officials at the Internal Revenue Service discuss that conclusion in ...