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 Problem Exactly Is DOL Trying to Solve by Redefining ‘Fiduciary?'
By Dale BrownOne thing we do know: the significant unintended consequence of forcing higher fees for IRA investors.
March 12, 2012
The Exchange Regulations Are HereHere's a link to the 644-page text of the final rule, which lets exchanges sell coverage through Web brokers.
March 12, 2012
IRS’ 5 Tax Tips for Newlyweds, DivorceesIf your client has just gotten married or divorced, the last thing you want is for something to further complicate tax returns, or throw a snag into the processing of a refund.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.
March 09, 2012
SEC, Congress Tussle Over Private Fund Advisor RegistrationSEC Commissioner Daniel Gallagher told chief compliance officers on Thursday that he sees cases where the securities regulator can grant exemptive relief for private fund advisors that must register with the agency as mandated by Dodd-Frank.
March 08, 2012
SEC, Industry Experts Issue Stern Warnings to CCOsChief compliance officers received a number of stern warnings on Thursday during the Investment Adviser Associations annual compliance conference just outside Washington.
March 07, 2012
Stuck in (Business Model) NeutralAn intense effort to create a uniform fiduciary standard remains unresolved after more three years of effort, something insurance agents and investment advisors should be concerned about.