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.
Is Inflation on the Way? Advisor Briefing for the Week of May 9, 2011
By James J. GreenTop market-moving news this week: measures of inflation, along with multiple congressional hearings.
May 04, 2011
PPACA: IRS Looks at Group Health DefinitionsThe Internal Revenue Service and its parent, the U.S. Treasury Department, are asking for comments about how they should define terms such as "employer" and "employee" when applying Affordable Care Act group health mandates.
May 04, 2011
PPACA: IRS Looks at Group Health DefinitionsThe Internal Revenue Service and its parent, the U.S. Treasury Department, are asking for comments about how they should define terms such as "employer" and "employee" when applying Affordable Care Act group health mandates.
May 04, 2011
IRS Seeks Tax Professionals for Advisory PanelThe IRS has begun accepting applications for the Internal Revenue Service Advisory Council (IRSAC), which provides a public forum for IRS officials and representatives of the public to discuss relevant issues regarding federal tax administration.
May 04, 2011
SEC's Schapiro: Extra Funding Will Support New Staff, Oversight of Credit Ratings, DerivativesMary Schapiro, SEC chairman, told a Senate Appropriations Subcommittee on Wednesday that the agency would use the recent $74 million funding boost that it received under the FY2011 CR to fill vacancies “to meet key strategic needs."
May 04, 2011
Advisors Prefer RIA Oversight by SECThe majority of RIAs are willing to pay OCIE a fee for examinations.
May 04, 2011
Advisors Prefer SEC for RIA OversightThe Top Wealth Managers Survey shows that the majority of RIAs are willing to pay OCIE a fee for examinations.
May 01, 2011
Politics and Process: SEC and the Fiduciary Study—SlideshowAdvisorOne Wealth Editor in Chief Kathleen McBride has closely followed the Securities and Exchange Commission's study on whether to extend a fiduciary standard to all advice givers in her series, SEC and the Fiduciary Study.