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.
IRS completes health research fee regulations
By Allison BellSelf-insured plan sponsors can use any reasonable method to count average covered lives.
December 04, 2012
SEC will pursue Fiduciary Rule in 2013The SEC plans to move forward next year with a uniform fiduciary standard rule for advisors and brokers when providing personalized investment advice.
December 03, 2012
Fed wins AIG suitA federal district court judge in New York today dismissed as not plausible a lawsuit alleging that the Federal Reserve Board acted against the interests of American International Group and its shareholders when it bailed out the company starting in September 2008.
December 03, 2012
FINRA keeping busy with enforcing annuity sales misdeedsSuitability sales issues continue to be an problem for an aging nation, and the NAIC has weighed in after a Government Accountability Office (GAO) report warning on suitability questions involving insurance and investment product sales to veterans.
December 03, 2012
Fiscal cliff solutions: A billion here, a billion thereSmall changes such as federal workers contributing more toward their pensions could start producing real changes to the potential $500 billion cliff.
December 03, 2012
PPACA and her sister: IRS posts tax proposalsRegulators propose regulations for collecting a new investment tax and a new Medicare payroll tax.
December 03, 2012
PPACA and her sister: IRS posts tax proposalsRegulators propose regulations for collecting a new investment tax and a new Medicare payroll tax.
December 03, 2012
SEC Will Pursue Fiduciary Rule in 2013The agencys just-released 2012 Financial Report states that it will move forward with its uniform fiduciary standard rule as well as continue to assess ways to better harmonize advisor and BD rules.