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.
White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC Soon
By Melanie WaddellInterim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.
April 08, 2013
Mary Jo White Confirmed by Senate as SEC ChairwomanThe former prosecutor was confirmed as SEC chief via unanimous consent.
April 05, 2013
IRS drafts health insurer exec comp regsIs that high earner a natural person or a single-member personal service corporation?
April 05, 2013
Compliance Officers Behaving BadlyThe law firm Sutherland found a bevy of violations during its annual look at SEC and FINRA disciplinary actions on chief compliance officers and in-house counsel for BDs and advisory firms.
April 04, 2013
A checklist of 401(k) fiduciary responsibilitiesThe DOL doesnt want it to be a secret, so it spells out exactly what it expects from the 401(k) plan sponsor and any other fiduciary.
April 03, 2013
Does fiduciary coverage for rollovers lie ahead?The GAO said the DOL and IRS should reduce the waiting period to roll over into a 401(k) plan and improve the asset verification process.
April 03, 2013
Ex-SEC chief Schapiro joins compliance firmSchapiro joins several other former regulators at Promontory, which counts many large banks as its clients.
April 02, 2013
Ex-SEC Chief Schapiro Joins Compliance Firm PromontorySchapiro joins several other former regulators at the strategy and compliance consultancy, which counts many large banks as its clients.