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.
The Weight of the World
By Arthur D. PostalAs an already embattled Department of Labor continues to craft a major revision to the fiduciary standard that governs the sale of retirement products in accounts covered by ERISA.
August 07, 2011
When Good Logic Goes Bad: 403(b) Seems to Equal 401(k) --BUT NOT REALLYA few years ago, the idea of eliminating the differences between 403(b) plans and 401(k) plans seemed to make obvious sense.
August 04, 2011
Bachus: SEC About to Draft Fiduciary Standard RegsThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 04, 2011
Obama Gets Earful of Advisors’ DOL Fiduciary Rule ComplaintsAdvisors are taking their objections to the DOL's controversial rule amending the definition of fiduciary straight to the White House.
August 03, 2011
HSAs Defy Great RecessionThe number of health savings accounts (HSAs) - and the average amount of contributions per account - increased between 2008 and 2009.
August 03, 2011
Bachus: SEC About to Draft Fiduciary Standard RegsThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 02, 2011
SEC: Unclaimed Property Also an Issue for Securities BrokersThe U.S. Securities and Exchange Commission is putting the process used to record efforts to locate missing security holders up for a routine paperwork review.
August 02, 2011
Bachus Blasts SEC as ‘Flawed,’ Pushes Restructuring BillHouse Financial Services Committee Chairman Spencer Bachus, R-Ala., says he is drafting legislation to restructure the Securities and Exchange Commission.