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.
At ASPPA 401(k) Summit, Opportunity and 'Exemption' Dominate Discussion
By John SullivanAn uncertain regulatory environment means opportunity for advisors to enter the 401(k) market, Brian Graff, executive director and CEO of ASPPA, told AdvisorOne at the Las Vegas conference.
March 04, 2011
SEC Eyes Life Settlement Investment Fund CreatorThe U.S. Securities and Exchange Commission has charged a former investment advisor with stealing investor money that was supposed to be used to buy in-force life insurance policies.
March 04, 2011
SEC Eyes Life Settlement Investment Fund CreatorThe U.S. Securities and Exchange Commission has charged a former investment advisor with stealing investor money that was supposed to be used to buy in-force life insurance policies.
March 04, 2011
How NAPFA President Susan John Wrote Her New Form ADVAs a service to other advisors, NAPFA President Susan John has given AdvisorOne permission to publish her firm’s complete Form ADV Part 2A brochure.
March 03, 2011
Dodd-Frank vs. Dodd-FrankThe Financial Stability Oversight Council provisions in the Dodd-Frank Wall Street Reform and Consumer Protect Act may be conflicting with the Federal Insurance Office provisions.
March 03, 2011
SEC Proposes Rule on Disclosure of Incentive-Based PayRule will affect broker-dealers and investment advisors with $1 billion in assets.
March 02, 2011
IRS Looks at Employer Stock TradabilityThe Internal Revenue Service has given taxpayers advice about how to interpret the phrases "readily tradable on an established securities market" and "readily tradable on an established market" with respect to employer securities.
March 02, 2011
IRS Looks at Employer Stock TradabilityThe Internal Revenue Service has given taxpayers advice about how to interpret the phrases "readily tradable on an established securities market" and "readily tradable on an established market" with respect to employer securities.