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.
PPACA: IRS Interprets "Excess Comp" Rules
By Allison BellThe Internal Revenue Service is starting to weigh in on which health insurance company bosses are subject to the new "excess compensation" tax rules.
December 28, 2010
What Lack of SEC Funding Means for Dodd-Frank, SRO LikelihoodThe Republican agenda of defunding Dodd-Frank looks to be coming to fruition, as the SEC fails to get a funding boost in the current federal fiscal year. That lack of funding may well increase chances of an advisor SRO.
December 28, 2010
Federal Employee Pay Freeze Expanded, but Leaves GapsPresident Obama’s two-year pay freeze for federal employees, now law, applies not just to those on the General Schedule (GS) pay scale, but following…
December 28, 2010
DOL to Hold Hearing March 1 on Fiduciary Proposal, Webcasts on Jan. 4The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) plans to hold a public hearing on March 1 in Washington on its…
December 23, 2010
SEC Eyes Ratings StandardizationThe U.S. Securities and Exchange Commission is seeking public comments about the idea of standardizing the credit rating system.
December 23, 2010
SEC Eyes Ratings StandardizationThe U.S. Securities and Exchange Commission is seeking public comments about the idea of standardizing the credit rating system.
December 23, 2010
Evensky Suggests: Read Vision of Dystopian, Non-Fiduciary FutureIn urging the SEC to adopt a serious fiduciary standard for all advice givers, Ron Rhoades warns of what may happen if the Commission fails to do so.
December 22, 2010
EBSA Schedules Fiduciary Definition HearingThe Employee Benefits Security Administration will hold a hearing on a proposed changed in the definition of the term "fiduciary" March 1 in Washington.