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.
EBSA Proposes Fiduciary Rule
By Warren S. HerschA fiduciary standard of care may end up applying to just about all financial professionals who are paid to offer investment advice to a benefit plan or to plan participants.
October 21, 2010
IRS Gives Reporting Break to Employers for 2011In case you missed it, the Internal Revenue Service (IRS) released Notice 2010-69 on October 12.
October 19, 2010
IRS Posts Hybrid Plan RegsThe Internal Revenue Service has published final regulations relating to hybrid retirement plans and started the process of writing additional hybrid plan regulations.
October 19, 2010
IRS Posts Hybrid Plan RegsThe Internal Revenue Service has published final regulations relating to hybrid retirement plans and started the process of writing additional hybrid plan regulations.
October 19, 2010
IAA Urges SEC to Remain Primary Regulator of AdvisorsAs the SEC conducts its study of whether it should designate an SRO to oversee advisors, the IAA urged the SEC on Tuesday to "maintain its role as the primary and direct regulator of the advisory industry."
October 18, 2010
Rule 151A: The SurrenderThe U.S. Securities and Exchange Commission has posted the regulation it will use to withdraw a regulation that could have classified many indexed annuities as securities.
October 18, 2010
Rule 151A: The SurrenderThe U.S. Securities and Exchange Commission has posted the regulation it will use to withdraw a regulation that could have classified many indexed annuities as securities.
October 18, 2010
SEC, CFTC to Hold Swaps RoundtableThe Securities and Exchange Commission and the Commodity Futures Trading Commission will hold a public roundtable on Friday to discuss issues related to the clearing of credit default swaps.