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 Limits Efforts To Pass On HRAs
By Staff WriterThe Internal Revenue Service has rejected an effort by employers to help health reimbursement arrangement holders who have no spouses or children.An employer that runs ...
August 06, 2006
Wishing For Spitzer?What if those who are crying out for federal oversight of insurance get their wish, but a Democrat is elected president of the United States--perhaps ...
August 03, 2006
The Lightning RoundThe SEC is moving forward at lightning speed, from a July Request for Information (RFI), to a Request for Proposals (RFP) due August 24th for the first leg of a major SEC study of how the different regulatory rules and entities for brokers and investment advisors affect ordinary investors.
August 02, 2006
SEC To Examine Gap Between IA And B-D RulesThe U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.The SEC ...
August 02, 2006
SEC To Examine Gap Between IA And B-D RulesThe U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.The SEC ...
August 01, 2006
GROUP THINKThe Investment Company Institute's president, Paul Schott Stevens, applauded the SEC for the Commission's July 12 decision to issue guidance clarifying the use of soft...
August 01, 2006
Will the SEC Appeal?A question on everyone's mind these days is whether the Securities and Exchange Commission will appeal the recent federal appeals court ruling that overturned the...