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.
Federal HR Agency Sets Flu Rules
By Allison BellFederal agency supervisors should use sick leave programs and alternative work arrangements to keep employees safe and keep the government running during major communicable disease outbreaks, officials say.
December 01, 2010
Will You Stay SEC Registered in 2011?We all know by now that the assets under management threshold to remain registered with the Securities and Exchange Commission will be raised to $100...
November 30, 2010
IRS Answers Pension Plan Fix QuestionsThe Internal Revenue Service has posted a batch of answers to questions about how multiemployer defined benefit plans should apply the Great Recession relief rules.
November 30, 2010
IRS Answers Pension Plan Fix QuestionsThe Internal Revenue Service has posted a batch of answers to questions about how multiemployer defined benefit plans should apply the Great Recession relief rules.
November 29, 2010
Target-Date Funds: Labor Proposes QDIA Rule AmendmentThe U.S. Department of Labor is calling for retirement plan participants to get more information about the target-date funds offered on plan investment menus.
November 29, 2010
President Obama Proposes Pay Freeze for Federal WorkersPresident Obama proposed a two-year pay freeze on federal workers and vowed to work to cut the ballooning budget deficit.
November 28, 2010
Target-Date Funds: Labor Proposes QDIA Rule AmendmentThe U.S. Department of Labor is calling for retirement plan participants to get more information about the target-date funds offered on plan investment menus.
November 26, 2010
Actions Taken at Nov. 19 SEC Meeting Likely Will Affect All AdvisorsAt its Nov. 19 open meeting, the SEC approved several key proposals designed to implement provisions of the Dodd-Frank law that will affect every investment advisory firm in some fashion.