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.
Advisory Industry: SIFMA Fiduciary Study Raises Lots of Questions
By Melanie WaddellThe advisory industry is taking issue with a new study commissioned by SIFMA that says retail investors will be harmed if the uniform fiduciary standard that the SEC is currently creating does not recognize different business models.
October 29, 2010
The Buzz at Schwab Impact Suggests a Client-Centric Model for Wall Street NowAt Schwab Impact, there's buzz that it's time for the Wall Street business model to become client-centric. The SEC can help.
October 28, 2010
IRS Holds 401(k) Deferral Limit SteadyThe Internal Revenue Service will be leaving some widely used pension and retirement plan limits unchanged in 2011.
October 28, 2010
IRS Holds 401(k) Deferral Limit SteadyThe Internal Revenue Service will be leaving some widely used pension and retirement plan limits unchanged in 2011.
October 28, 2010
Senior best practices: The focus of new fed reportThe Securities and Exchange Commission, Financial Industry Regulatory Authority and North American Securities Administrators Association
October 28, 2010
The Next Wave of Congressional ChairmenThe more conservative Tim Johnson will replace retiring Senate Banking chairman Christopher Dodd. Johnson's major priority for the next Congress is implementing Dodd-Frank.
October 27, 2010
Senior best practices: The focus of new fed reportThe Securities and Exchange Commission, Financial Industry Regulatory Authority and North American Securities Administrators Association
October 27, 2010
SEI Poll: CCOs Hampered by Too Many Responsibilities, Too Few ResourcesChief compliance officers continue to take on more and more responsibility while struggling to keep up with the pressure of ongoing regulatory changes, according to a poll released Tuesday by SEI.