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.
OFC Bill Introduced In House
By Arthur D. PostalLegislation was introduced on Sept. 28 in the House to create an optional federal charter that is being called a "companion" bill to similar legislation ...
October 01, 2006
OFC Bill Introduced In HouseLegislation was introduced on Sept. 28 in the House to create an optional federal charter that is being called a "companion" bill to similar legislation ...
October 01, 2006
Catching up with...With 20 years of investment management experience under his belt, Tom Grzymala is on a mission to see that "the full meaning and spirit of...
September 30, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 30, 2006
IRA rollover essentialsSee examples from the IRS. Learn the top 10 things every advisor should know about IRA rollovers. Click here to download the pdf.
September 30, 2006
Don't Let Clients Stumble Over ERISA LiabilityTo their surprise and dismay, some employers have learned that their voluntary benefit programs are ERISA programs, subject to all of the same requirements and liabilities...
September 29, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
New SEC Research Tool for Public CompaniesThe Securities and Exchange Commission has decided to replace its antiquated public company disclosure system called EDGAR, which uses a form-based electronic filing cabinet, with a real-time search tool with interactive capabilities.