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.
ACLI Joins in Regulation Z Battle
By Arthur D. PostalLife insurers are teaming with property-casualty insurers to object to Federal Reserve Board efforts to apply Truth in Lending Act disclosure requirements to credit insurance.
December 22, 2010
Outlook 2011, Washington & the Fed: KBW Sees Tighter Regulations, Flat RatesThe Fed will keep interest rates flat as quantitative easing continues, and regulatory policy out of Washington will continue to pose risks in 2011, said KBW analysts.
December 22, 2010
Congress Passes Government Funding Bill: SEC Left in the ColdThe Senate and House approved Tuesday a continuing resolution that forestalls a U.S. government shutdown but that leaves the SEC, among other federal agencies, without some of the extra funds it needs to efficiently run their agencies.
December 21, 2010
Ron Roge’s Modest Proposal on FINRA as RIAs’ SRO: A Role for the CFP Board?Why not have the CFP Board serve as the SRO for all advice givers, as Ron Roge suggests, rather than, say, FINRA? Good idea, but . . .
December 21, 2010
Outlook 2011, Regulation & Legislation: Advisors Brace for Dodd-Frank, New Committee ChairmenImplementation of Dodd-Frank, new congressional chairmen and scores of compliance chores will keep advisors busy throughout the New Year.
December 20, 2010
IRS Answers Pension Relief QuestionsThe Internal Revenue Service has answered many highly technical questions about how to apply the new single-employer pension plan funding relif rules.
December 20, 2010
IRS Answers Pension Relief QuestionsThe Internal Revenue Service has answered many highly technical questions about how to apply the new single-employer pension plan funding relif rules.
December 20, 2010
SEC’s New Form ADV Requirements: Fidelity Offers GuidanceFidelity is scheduling webinars and workshops on SEC changes such as Form ADV Part 2, says David Canter, head of practice management at Fidelity's RIA custody business.