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.
White House Said to Mull Gallagher as Casey's SEC Replacement
By Melanie WaddellPresident Obama reportedly may nominate Daniel Gallagher, a former SEC official, to replace Kathleen Casey, whose five-year term expires in June.
April 20, 2011
FINRA Alternative: SROIIA Surveying RIA FirmsFledgling SRO for RIAs adds officers, announces progress.
April 20, 2011
Michael Oxley Describes New Role as FINRA Lobbyist: Exclusive InterviewMichael Oxley should be on every advisor's radar, as the former Republican congressman is now lobbying to ensure FINRA becomes the SRO for advisors.
April 19, 2011
SEC to Public: Have Any Ideas About How to Educate Investors?The U.S. Securities and Exchange Commission is asking the public for ideas about which approaches to investor education are - and are not - working.
April 19, 2011
IRS to Adjust Plan Advisor User FeesThe Internal Revenue Service is restructuring the fees it imposes on the enrolled retirement plan agents who help retirement plans with tax matters.
April 19, 2011
IRS to Adjust Plan Advisor User FeesThe Internal Revenue Service is restructuring the fees it imposes on the enrolled retirement plan agents who help retirement plans with tax matters.
April 19, 2011
Putting the ‘Self’ Into Advisor Self-RegulationIt's a sorry state of affairs when a fledgling group out of the University of Mississippi is the last, best hope of an advisor SRO
April 18, 2011
Tell the IRS What to Do FirstThe Internal Revenue Service is asking for public comments on its to-do list.