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.
MSRB (Still) Awaits SEC Muni Advisor Rule; Plans EMMA 2.0
By Melanie WaddellThree years after passage of the Dodd-Frank Act, the Municipal Securities Rulemaking Board is still waiting for the SEC to issue its rule defining who is a municipal advisor.
May 07, 2013
SEC chief defends budget request to skeptical lawmakersSEC Chairwoman Mary Jo White told a House panel on Tuesday that the agencys $1.67 billion budget request for 2014 would help the agency fulfill one of its top priorities: adding 250 examiners for advisors.
May 07, 2013
SEC Chief Defends Budget Request to Skeptical LawmakersSEC Chairwoman Mary Jo White told a House panel on Tuesday that the agencys $1.67 billion budget request for 2014 would help the agency fulfill one of its top priorities: adding 250 examiners for advisors.
May 07, 2013
DOL seeking input on income illustrations rulesOne rule would require a participants accrued benefits to be listed as an estimated lifetime stream of payments.
May 07, 2013
DOL seeking input on income illustrations rulesOne rule would require a participants accrued benefits to be listed as an estimated lifetime stream of payments.
May 07, 2013
The IRS's unhealthy stance on wellnessTo be generous, I could just chalk this up to one hand not knowing what the other might be trying to manipulate.
May 07, 2013
DOL Seeks Input on Lifetime Income Illustrations PlanWe are looking for the best ideas on how to show people what their lump-sum retirement savings look like when they are spread out over all the years of retirement, said Phyllis Borzi.
May 06, 2013
Compliance, Regulation Lead Plan Sponsor Focus for 2013: Cogent ResearchA report by Cogent Research identified major trends among plan sponsors.