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.
AICPA attacks DOL fiduciary plan’s ESOP language
By Melanie WaddellAICPA urges lawmakers to support bills that would ensure independent appraisers of ESOP are not designated as fiduciaries.
July 25, 2013
SIFI impact to be ongoingPotential SIFI designations and a dual regulatory environment are looming.
July 24, 2013
DOL 408(b)2 Fee Disclosure ‘Guide’ Lands at OMBERISA guru Fred Reish says proposed reg could spell more expense for retirement plan service providers.
July 24, 2013
Advisors prepare to water down DOL fiduciary ruleThe coming months will be crucial as investment advisors work to shape the regulation to their liking.
July 24, 2013
Advisors prepare to water down DOL fiduciary ruleThe coming months will be crucial as investment advisors work to shape the regulation to their liking.
July 23, 2013
Lawmakers Challenge Hedge Fund Ad RulesTwo representatives warn the SEC that the rule, requiring funds to file "wildly expanded" paperwork 15 days before advertising starts, runs afoul of the JOBS Act's intent and would "delay free speech."
July 23, 2013
After Bitcoin Ponzi Scheme Charge, SEC Warns of Virtual Currency ScamsFollowing charges it leveled against Trendon Shavers for Bitcoin Ponzi scheme, SEC warns investors about fraudulent investment schemes involving virtual currencies.
July 23, 2013
Disclosure of CEO-to-worker pay may be soonThe rule would require reporting CEO compensation as a multiple of median-worker pay.