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 Cracks Down on RIA, BD Compliance Officers--Compliance Watch
By Elizabeth D. FestaTwo recent SEC cases signal, says a former examiner, that CCOs and their firms are unaware of their vulnerability and liability.
June 14, 2011
Why SEC’s June 22 Meeting Will Dramatically Alter Life for AdvisorsThe vote on the big ‘switch’ means big changes for the investment advisory profession.
June 13, 2011
IRS Gives Nonprofit Plans, Hospitals More Time to Comply with PPACAThe Internal Revenue Service is pushing back the compliance deadlines for Patient Protection and Affordable Care Act nonprofit health plan and nonprofit hospital social responsibility requirements.
June 13, 2011
IRS E-File: More Than 1 Billion Taxpayers Served Since 1986IRS e-file, the electronic transmission system that sends tax returns to IRS processing centers, has passed the one billion mark for individual tax returns processed, the agency announced Thursday.
June 12, 2011
IRS Gives Nonprofit Plans, Hospitals More Time to Comply with PPACAThe Internal Revenue Service is pushing back the compliance deadlines for Patient Protection and Affordable Care Act nonprofit health plan and nonprofit hospital social responsibility requirements.
June 10, 2011
Analyst: Pru Hopes to Avoid SIFI StatusPrudential Financial Inc. is still trying to keep the federal government from classifying it as a "systemically important financial institution" and subjecting it to a new layer of regulation, analysts say in a new investment note.
June 10, 2011
Analyst: Pru Hopes to Avoid SIFI StatusPrudential Financial Inc. is still trying to keep the federal government from classifying it as a "systemically important financial institution" and subjecting it to a new layer of regulation, analysts say in a new investment note.
June 10, 2011
PPACA: IRS Starts to Design Health Plan Quality Research FeeThe Internal Revenue Service is asking for comments about how it should go about using fees from health insurers and sponsors of self-insured health plans to pay for comparative clinical effectiveness research.