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.
Dodd-Frank: SEC Posts Swaps Clearing Exemption Proposal
By Allison BellThe U.S. Securities and Exchange Commission has proposed a rule that could affect how insurers use securities-based swaps to manage investment risk.
June 09, 2011
IRS Adds Advisory Panel MembersAn actuary and a pension lawyer are among a group of 10 new members of the federal Advisory Committee on Tax Exempt and Government Entities.
June 09, 2011
The Future of LTC Rate Regulation?Last week, the California Assembly took one more step toward increased industry regulation. Members voted 4233 in favor of A.B. 999, a bill that seeks ...
June 09, 2011
The Future of LTC Rate Regulation?Last week, the California Assembly took one more step toward increased industry regulation. Members voted 42–33 in favor of A.B. 999, a bill that seeks ...
June 09, 2011
IRS: Thousands of Groups Lose Tax-Exempt StatusThe IRS announced that nearly 300,000 groups have lost their tax-exempt status because they failed to file required reports for three consecutive years.
June 08, 2011
FDIC Schedules Risk Watcher EventThe Systemic Resolution Advisory Committee, an arm of the Federal Deposit Insurance Corp., is set to meet June 21 in Washington.
June 08, 2011
FDIC Schedules Risk Watcher EventThe Systemic Resolution Advisory Committee, an arm of the Federal Deposit Insurance Corp., is set to meet June 21 in Washington.
June 08, 2011
Former EBSA Chief: Rewrite Fiduciary DraftBradford Campbell, the former head of the Employee Benefits Security Administration, says the U.S. Department of Labor should overhaul its retirement plan fiduciary definition proposal.