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.
What if the IRS pays an exchange plan late?
By Allison BellHHS has completed a big batch of benefit and payment regulations.
February 28, 2013
Supreme Court defines time limits for the SEC to pursue civil casesInfractions committed at the start of the financial crisis are approaching the time limit to which the SEC can pursue civil penalties.
February 28, 2013
DOL, SEC, FINRA Enforcement Roundup: DOL Recovers $43 Million for Madoff VictimsAmong other recent enforcement actions were SEC charges against two Connecticut-based hedge fund managers and their firms for fraud.
February 28, 2013
3 Issues That Will Dominate DOL Fiduciary DebatePay close attention to three areas of the DOLs reproposed fiduciary rule once its released in July, says Brad Campbell, former head of EBSA.
February 27, 2013
SEC Budget Faces $108M Cut Under Sequester; House GOP Blasts SEC’s ‘Misplaced Priorities’Republicans on the House Financial Services Committee criticized the agency Tuesday for repeatedly failing to fulfill any part of its mission.
February 26, 2013
As Fiduciary Debate Returns, Advisors Share Attitudes and PracticesAs the SEC and DOL work to finalize their fiduciary standards, AdvisorOne and fi360 field their third annual advisor fiduciary survey to determine real-world advisor opinions and actions.
February 26, 2013
Mary Jo White confirmation appears set for mid-MarchThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.
February 26, 2013
Mary Jo White confirmation appears set for mid-MarchThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.