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.
ASPPA Wants DOL to Streamline Reporting Requirements
By Arthur D. PostalThe American Society of Pension Professionals & Actuaries is asking the Department of Labor to streamline the reporting requirements imposed on retirement plans by issuing new guidance.
April 01, 2011
An Alternative to FINRA OversightThe SEC, like any organization, likes to protect its own turf.
April 01, 2011
Dodd-Frank: An Overview Of Pending Changes For Investment AdvisorsSo, how will Dodd-Frank impact your firm? I have set forth below an overview of certain provisions that will impact the vast majority of current and pending…
April 01, 2011
IRS Might Issue ACO GuidanceThe Internal Revenue Service is asking whether it needs to issue new guidance to help tax-exempt health care organizations participate in the new Medicare Shared Savings Program accountable care organization initiative.
April 01, 2011
GOP’s End Game in Nixing SEC Funds: Stopping Dodd-FrankThe Securities and Exchange Commission’s reputation as a credible regulator may never fully recover from the Bernie Madoff Ponzi scheme.
April 01, 2011
SEC and the Fiduciary Study: Politics and the Fiduciary StandardFor a moment in fall 2009, it seemed that the Democratically controlled U.S. House of Representatives and Senate would duel over who could pass a stronger fiduciary standard.
April 01, 2011
SEC Funding in the Budget Fight CrosshairsAt press time, the Senate was preparing to vote on competing Democratic and GOP bills to fund the government for the rest of the year.