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 Gives 2010 Estates More Time to Pay Taxes
By Allison BellThe Internal Revenue Service is offering beneficiaries of people with large estates who died in 2010 more time to adjust to mid-year tax-law changes.
September 13, 2011
Fiduciary Standard: Peters Defends SECRepublicans seem to be trying to starve the U.S. Securities and Exchange Commission of the resources it needs to police the sale of investment products, Rep. Gary Peters said today at the fiduciary standard hearing.
September 13, 2011
Bachus SRO Draft Draws SparksRep. Spencer Bachus is getting mixed reactions to a draft bill that would authorize one or more self-regulatory organizations to oversee investment advisors that are registered with the U.S. Securities and Exchange Commission.
September 13, 2011
NAIFA, AALU Clash with CFA at Fiduciary Standards HearingRepublicans on the House Financial Services Committee teamed with insurance agent groups today to attack U.S. Securities and Exchange Commission efforts to apply a uniform fiduciary standard to investment product sales.
September 12, 2011
NAIFA, AALU Clash with CFA at Fiduciary Standards HearingRepublicans on the House Financial Services Committee teamed with insurance agent groups today to attack U.S. Securities and Exchange Commission efforts to apply a uniform fiduciary standard to investment product sales.
September 08, 2011
Dodd-Frank: Employers Pan Swap Counterparty AidEmployee benefit plans want the right to waive a proposed rule that would require swap counterparties to give benefit plans extra scrutiny and advice.
September 08, 2011
Draft Bill Calling for SRO for Advisors Introduced in HouseThe House Financial Services Committee on Thursday released a draft bill that would establish one or more self-regulatory organizations (SRO) to oversee investment advisors.
September 07, 2011
IRS Goes Back To Drawing Board on Estate CostsThe Internal Revenue Service is scrapping proposed estate administration cost deduction rules it released in 2007.