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.
Tell the IRS What to Do First
By Staff WriterThe Internal Revenue Service is asking for public comments on its to-do list.
April 17, 2011
Schapiro on ShutdownThe Securities and Exchange Comission will be out of business if there is a government shutdown, agency chairman Mary Schapiro warned recently.
April 15, 2011
TD’s Schweiss on Overlooked Golden Opportunity for Advisors: Weekend InterviewSkip Schweiss suggests that DOL regulations on fiduciary and retirement plans will play to fiduciary advisors’ strength.
April 14, 2011
IRS Seeks Council MembersThe Internal Revenue Service is trying to recruit about 12 new members for the IRS Advisory Council.
April 14, 2011
IRS Seeks Council MembersThe Internal Revenue Service is trying to recruit about 12 new members for the IRS Advisory Council.
April 14, 2011
Different Tax Day Leads to Taxpayer DitheringTaxpayers filing later, and confusion surrounding mandatory e-filing and writing checks.
April 14, 2011
New IRS Cash Balance Plan Regulations May Prevent Full Pension DistributionsOne pension consultant is warning that new regulations by the IRS regarding hybrid pension plans, also called cash balance plans, may prevent full pension distributions to retirees and other employees.
April 14, 2011
What the Budget Deal Means for the SEC, and the Debt Ceiling2011 budget compromise may signal good news for extending debt ceiling in mid-May