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.
Financial Planning Association highlights compliance software
By National Ethics BureauCompliance software should play a greater role in practice management, according to a new report from the Financial Planning Association.
January 01, 2011
FINRA Jockeys for SRO Spot as SEC Report to Congress NearsAs the Jan. 21 deadline approaches for the Securities and Exchange Commission (SEC) to deliver its report to Congress, the Financial Industry Regulatory Authority (FINRA) is engaged in a full-court press to convince the SEC that it should be the SRO for advisors.
December 31, 2010
Financial Planning Association highlights compliance softwareCompliance software should play a greater role in practice management, according to a new report from the Financial Planning Association.
December 30, 2010
PPACA: IRS Changes Rules for BluesThe Internal Revenue Service has given nonprofit Blue Cross and Blue Shield plans that violate a new medical loss ratio requirements a mechanism to stay in compliance with tax accounting rules.
December 30, 2010
Advisors weigh in on pending regulatory changesAs advisors begin planning for 2011, one potential hurdle to cross is any new compliance demands that could cross their desk in the coming year. TD Ameritrade Inc. surveyed 400 advisors earlier this quarter to gauge their thoughts on industry regulations.
December 30, 2010
Advisors weigh in on pending regulatory changesAs advisors begin planning for 2011, one potential hurdle to cross is any new compliance demands that could cross their desk in the coming year. TD Ameritrade Inc. surveyed 400 advisors earlier this quarter to gauge their thoughts on industry regulations.
December 30, 2010
PPACA: IRS Changes Rules for BluesThe Internal Revenue Service has given nonprofit Blue Cross and Blue Shield plans that violate a new medical loss ratio requirements a mechanism to stay in compliance with tax accounting rules.
December 28, 2010
PPACA: IRS Interprets "Excess Comp" RulesThe Internal Revenue Service is starting to weigh in on which health insurance company bosses are subject to the new "excess compensation" tax rules.