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.
New Banking Regulations to Cut Profitability: KPMG
By Marlene Y. SatterA report by KPMG finds that the regulatory pressures on banks worldwide will have an impact on profitability and liquidity that will amount to a “systemic reduction,” if business models do not change.
January 11, 2011
FINRA Private Placement Proposal Exempts Variable ProductsThe Financial Industry Regulatory Authority plans to keep an exemption for variable life and annuity products in a private placements rule it is updating.
January 11, 2011
IRS Consolidates Accounting Change GuidanceThe Internal Revenue Service has come out with a 325-page guide to getting automatic consent for accounting method changes.
January 11, 2011
IRS Consolidates Accounting Change GuidanceThe Internal Revenue Service has come out with a 325-page guide to getting automatic consent for accounting method changes.
January 11, 2011
History Lesson: How FINRA Would Oversee RIAsWhat the then-NASD's regulation of RIAs in the past suggest about how FINRA would behave as the SRO for advisors.
January 10, 2011
Vanguard to SEC: More Money Market Fund Reforms Should Be Weighed CarefullyVanguard has told the SEC that while the new minimum liquidity levels imposed on money market funds will help deter 'runs,' further money market fund reforms must be weighed carefully.
January 10, 2011
Vanguard to SEC: Further Money Market Fund Reforms Should be Weighed CarefullyVanguard has told the SEC that while the new minimum liquidity levels imposed on money market funds will help deter 'runs,' further money market fund reforms must be weighed carefully.
January 07, 2011
New LTC Insurance Guides Give Tax Deductibility, RegulationsTwo new guides providing information on the 2011 tax deductibility limits and the regulations governing long-term care insurance (LTCI) have been published and are now available from the American Association for Long-Term Care Insurance.