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.
SEC Begins Hearings on State of Municipal Securities Markets
By John SullivanThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.
September 20, 2010
ASPPA: Don't Make 5500 Clerks RegisterThe American Society of Pension Professionals & Actuaries is asking the Internal Revenue Service to think about the red tape it is about to wrap around the support staffers who help prepare Form 5500 data.
September 20, 2010
ASPPA: Don't Make 5500 Clerks RegisterThe American Society of Pension Professionals & Actuaries is asking the Internal Revenue Service to think about the red tape it is about to wrap around the support staffers who help prepare Form 5500 data.
September 20, 2010
SEC to Update Reform Act’s Progress on WebsiteThe U.S. Securities and Exchange Commission has created a new page on its website it says is dedicated to documenting the agency's adherence to its...
September 20, 2010
DOL's Borzi Lays Out EBSA’s AgendaPhyllis Borzi, Assistant Secretary of Labor for Employee Benefits Security Administration (EBSA), spoke at the annual Department of Labor (DOL) Speaks conference in National Harbor, Md., on Monday.
September 17, 2010
SEC Votes to Increase Disclosure of Banks’ Short-Term BorrowingsSEC commissioners voted unanimously on Friday to propose new rules for financial firms to disclose more information about their short-term borrowings.
September 16, 2010
Schapiro Defends Denial of Freedom of Information Act RequestsSecurities and Exchange Commission Chairman Mary Schapiro defended a controversial part of the new Wall Street reform law as "central to our ability to develop...
September 16, 2010
IRS Issues Guidance on Cell Companies: SidleySidley Austin LLP, an international business law firm, said Thursday that the IRS had issued guidance concerning cell companies.