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.
Senate Majority Leader Reid Introduces New Spending Bill; Vote Set for Tuesday
By Melanie WaddellThe Senate plans to vote Tuesday on a new spending bill introduced by Sen. Harry Reid.
December 17, 2010
IRS Eases Transit DeadlineThe Internal Revenue Service is giving mass transit systems more time to comply with new transportation fringe benefits requirements.
December 17, 2010
NAIFA: Universal Fiduciary Standard Would Hurt ConsumersIf a universal fiduciary standard of care governed all sales of investment products, many life agents would narrow the scope of services they provide for middle-income customers.
December 16, 2010
NAIFA: Universal Fiduciary Standard Would Hurt ConsumersIf a universal fiduciary standard of care governed all sales of investment products, many life agents would narrow the scope of services they provide for middle-income customers.
December 16, 2010
Fiduciary Standard Survey ExtendedThese are the final days to make your feelings about fiduciary duty known in an exclusive fi360-AdvisorOne survey. We’ve extended the deadline to participate to Dec. 23.
December 16, 2010
Implications of Tax Bill Process for Advisors: David TittsworthAs extension of the Bush tax cuts nears passage, David Tittsworth of the Investment Advisers Association reflects on the implications of the process for advisors.
December 15, 2010
FINRA’s Approach to RIA Regulation: If You Can’t Beat ‘em, Test ‘em.FINRA’s initiative on RIAs is a step toward its goal of adding independent advisors to its stable of regulation
December 14, 2010
Municipal Bond Regulation: Time to Repeal the Tower Amendment?Too bad there’s no expiration date on the 1975 amendment exempting municipal bond issuers from making disclosures to potential investors.