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's Walsh at IAA: Advisor Exams to Increase Post Dodd-Frank in Short-Term
By Melanie WaddellJohn Walsh, associate director of OCIE, warned compliance officers on Thursday “not to back off” on their compliance due diligence, as SEC exams of advisory firms post-Dodd-Frank will increase in the short-term.
March 09, 2011
FIO: Allredge Says Big Agencies Can Start SmallFor state regulators and legislators, the new Federal Insurance Office is certainly "at least a new cousin in the federal government," according to Neil Alldredge.
March 09, 2011
FINRA Alternative: New SRO With ‘Bona Fide’ Fiduciary Standard for RIAsThe Business Law Society, a group of law students at the University of Mississippi, under the guidance of Mercer Bullard, associate professor of law and a member of the SEC’s Investment Advisory Committee, proposed an alternative SRO for RIAs.
March 08, 2011
California, New York Update Annuity RegsTwo large states are adopting new annuity suitability rules.
March 08, 2011
California, New York Update Annuity RegsTwo large states are adopting new annuity suitability rules.
March 07, 2011
IRS Replaces Vested Benefits FormThe Internal Revenue Service has developed a new form that retirement plan administrators should use to identify separated participants with deferred vested benefits.
March 07, 2011
IRS Replaces Vested Benefits FormThe Internal Revenue Service has developed a new form that retirement plan administrators should use to identify separated participants with deferred vested benefits.
March 07, 2011
Best EnemiesSigns are emerging that the sigh of relief by large insurance companies that they escaped federal oversight in the post-AIG bailout world may have been premature.