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.
IRS Posts Numbers for Non-U.S. Insurers
By Staff WriterThe Internal Revenue Service has published figures that insurers based outside the United States need to compute their minimum effectively connected net investment income.
August 16, 2010
FINRA's Members Elect New Governors, Approve Proxy ProposalsMember firms of the Financial Industry Regulatory Authority (FINRA) have elected seven governors, and have supported seven non-binding proxy proposals, the organization announced.
August 16, 2010
House Financial Services to Hold Hearing on SEC's FOIA Exemption in SeptemberProvision in Dodd-Frank Act would prevent access to financial transaction information.
August 15, 2010
IRS Posts Numbers for Non-U.S. InsurersThe Internal Revenue Service has published figures that insurers based outside the United States need to compute their minimum effectively connected net investment income.
August 15, 2010
CFA Rallies Support for Broader Fiduciary StandardThe Consumer Federation of America is urging members to tell the U.S. Securities and Exchange Commission to impose tougher investment product sales rules.
August 15, 2010
Dodd-Frank: Feds Writing a Swaps DictionaryThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission are asking for comments on the definitions they should use when implementing new swaps market statutes.
August 13, 2010
SEC, CFTC Seek Comments on 'Mixed Swaps'As required by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the SEC and CFTC published a joint advance notice of proposed rulemaking requesting public comment regarding "mixed swaps."
August 13, 2010
SEC, NASAA, FINRA Update Best Practices for Serving SeniorsAs the number of elderly Americans is expected to more than double by 2050, the SEC, FINRA, and NASAA have updated a joint report outlining practices being used by financial services firms.