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.
The DOL’s DC Fiduciary Shift, and the SEC’s on Munis: Connecting the Advisor Tea Leaves
By Bob ClarkThe increased awareness of the fiduciary duty resulting from financial re-regulation is already having visible effects on DC plans and muni bond advisors.
November 09, 2010
EEOC Completes GINA RegsThe U.S. Equal Employment Opportunity Commission has issued final regulations that implement the employment provisions in the Genetic Information Non-Discrimination Act of 2008.
November 09, 2010
EEOC Completes GINA RegsThe U.S. Equal Employment Opportunity Commission has issued final regulations that implement the employment provisions in the Genetic Information Non-Discrimination Act of 2008.
November 09, 2010
The IRS and Foundations' MissionsMission, not the IRS, should determine a foundation's spending and investment policies.
November 05, 2010
FSI Says 12b-1 Rule Change Will Confuse Investors, Be IneffectiveThe Financial Services Institute warned of the "important unintended consequences" for IBDs, reps and clients should the SEC's proposed changes to Rule12b-1 be adopted.
November 05, 2010
Flash Crash Panel Meets to Review CFTC-SEC ReportEmerging regulatory issues were on the bill for Friday as an advisory panel met to review a report on how to prevent another flash crash like the one that threw the markets into a panic on May 6.
November 03, 2010
IRS Raises Deductibility Limits for LTC InsuranceThe IRS announced Tuesday that the deductibility limits for LTC insurance policies purchased in 2011 will be higher than for those purchased in 2010.
November 03, 2010
Gridlock: What the Election Means for AdvisorsOther than wishing for a little more business acumen among our political leaders, what are the lessons, if any, that advisors and their clients can learn from this mid-term election?