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.
The Problem Isn't With RIAs: Why a Fiduciary Standard for Brokers Makes Sense
By Bob ClarkIf the problem were with RIAs, we’d be changing the laws governing RIAs to be more like the laws governing brokers. But we’re not.
March 23, 2011
Fiduciary of the Year Award Named for Tamar FrankelCommittee for the Fiduciary Standard honors Prof. Frankel and calls for nominees who have advanced the ‘authentic fiduciary standard.’
March 22, 2011
Republicans: SEC Has Not Justified Fiduciary Standard RulemakingRepublican members of the House Financial Services Committee are opposing a U.S. Securities and Exchange Commission decision to proceed with development of a uniform fiduciary standard regulation.
March 22, 2011
Why Is Congress Asking if We Can Afford to Treat Clients Right?Our intrepid blogger wonders why our elected representatives want to conduct a cost benefit analysis on doing the right thing
March 21, 2011
IRS Updates RateThe Internal Revenue Service has cut the rate that should be used to determine the present value of an annuity.
March 21, 2011
Republicans: SEC Has Not Justified Fiduciary Standard RulemakingRepublican members of the House Financial Services Committee are opposing a U.S. Securities and Exchange Commission decision to proceed with development of a uniform fiduciary standard regulation.
March 21, 2011
IRS Updates RateThe Internal Revenue Service has cut the rate that should be used to determine the present value of an annuity.
March 20, 2011
PPACA: Agencies Postpone Claims and Appeals EnforcementFederal regulators expect to wait until Jan. 1, 2012, to enforce some of the new federal internal claims and appeals requirements.