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.
SEC, CFTC Exclude Insurance Products from Swap Definition Proposal
By Allison BellFederal agencies are proposing swaps regulations that would exclude insurance products written by regulated insurers from the definition of the term "swap."
April 25, 2011
SEC Loosens CFP Board ReinsThe U.S. Securities and Exchange Commission says the CFP Board of Standards can use client information provided by registered investment advisors and broker-dealers when disciplining advisors
April 25, 2011
SEC Loosens CFP Board ReinsThe U.S. Securities and Exchange Commission says the CFP Board of Standards can use client information provided by registered investment advisors and broker-dealers when disciplining advisors
April 25, 2011
Mary Schapiro, SEC: The Extended 2011 IA 25 ProfileIn an exclusive interview, the SEC chairman talks fiduciary options, budget constraints and Dodd-Frank implementation.
April 22, 2011
Beware Private Placements: Lessons From MedCap, Provident and DBSIMake sure to exercise caution when offering private placements
April 22, 2011
Ken Fisher, Mary Schapiro, Bob Rodriguez: Top 10 AdvisorOne Exclusive InterviewsCandid talk from leading policy makers and investment takers, including Ken Fisher, Mary Schapiro and Mohamed El-Erian.
April 21, 2011
PPACA: IRS Eyes Nonprofit HospitalsThe Internal Revenue Service is starting to look to see whether tax-exempt hospitals are conducting enough community benefit activities to justify their exemptions.
April 21, 2011
PPACA: IRS Eyes Nonprofit HospitalsThe Internal Revenue Service is starting to look to see whether tax-exempt hospitals are conducting enough community benefit activities to justify their exemptions.