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.
Labor Department Releases New Investment Advice Regulation for 401(k), IRA Plans (AP)
By Staff WriterA new law established by the Department of Labor allows plan providers to offer enrollees advice regarding their 401(k) and retirement account plans.
October 24, 2011
New DOL Rule on Investment AdviceThe conclusion to a long-running effort to update fiduciary law will now allow agents to provide computerized investment advice to 401(k) beneficiaries, under certain conditions.
October 24, 2011
New DOL Rule on Investment AdviceThe conclusion to a long-running effort to update fiduciary law will now allow agents to provide computerized investment advice to 401(k) beneficiaries, under certain conditions.
October 24, 2011
FIO Wants Your Input on Industry Regulation. Please Give It to Them!Have a strong opinion on what the federal governments role should be going forward in regulating insurance? I hope you do. Now is your chance to have your opinion heard by the people actually making the rules.
October 24, 2011
FIO Wants Your Input on Industry Regulation. Please Give It to Them!Have a strong opinion on what the federal governments role should be going forward in regulating insurance? I hope you do. Now is your chance to have your opinion heard by the people actually making the rules.
October 21, 2011
Fed Conflict of Interest Threatens Reputation: GAO ReportA new report from the Government Accountability Office, which details potential conflict of interest within the Federal Reserve, finds that the Fed is taking on additional risks to its reputation by allowing the banking industry to participate in choosing board members at the 12 regional Fed banks.
October 20, 2011
IRS Raises 401(k) Contribution Limits to $17,000 for 2012The Internal Revenue Service announced Thursday cost of living adjustments affecting contribution limitations for pension plans and other retirement-related items for fiscal year 2012.
October 19, 2011
Citigroup to Pay $285 Million to Settle SEC Charges on CDO DealThe SEC charged Citigroups principal U.S. broker-dealer subsidiary with betting against clients who invested in the CDO as the housing market showed signs of distress.