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.
Feds May Erase Line Between Advisors And B-Ds
By Allison BellMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday at an open meeting to give broker-dealers more freedom to shift to fee-based ...
April 06, 2005
EBSA Posts Guide To UnumProvident SettlementNU Online News Service, April 6, 2005, 4:02 p.m. EDTThe Employee Benefits Security Administration has posted answers on Web to "frequently asked questions" about ...
April 05, 2005
Trade Group Criticizes SEC Disclosure ProposalThe American Council of Life Insurers, Washington, wants federal regulators to keep communication between broker-dealers and customers as simple as possible.[@@]The ACLI is one ...
April 01, 2005
Feds Clarify Trust RulesNU Online News Service, April 1, 2005, 9:28 a.m. ESTThe Internal Revenue Service has published guidance that affects spousal election rights associated with charitable ...
April 01, 2005
Satisfaction Guaranteed?A recent private-letter ruling issued by the SEC giving advisors the okay to provide certain new clients with a "satisfaction guarantee" is causing quite a...
April 01, 2005
SEC Gearing Up for New RulesGet ready. The Securities and Exchange Commission is expected to issue a new rule this year on soft dollars as well as amendments to Form...
April 01, 2005
What's the SEC spending?One of the more prominent issues these days for RIAs and broker/dealers alike is compliance. Research conducted by the AdvisorBenchmarking unit of Rydex (see page...
March 30, 2005
Industry Pans SEC Proposed Disclosure RuleIndustry Pans SEC Proposed Disclosure Rule Information would have to be provided at the "point of sale"By Matt BradyThe American Council of Life Insurers said ...