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.
Financial Institution Executive Benefits Compensation Disclosure Provision
By staff WriterThe Dodd-Frank Wall Street Reform and Consumer Protection Act includes a provision on executive compensation at covered financial institutions.
August 03, 2010
SEC Tells ICI That Derivatives Disclosure Needs ImprovementIn a July 30 letter to the Investment Company Institute (ICI), the Securities and Exchange Commission (SEC) urged funds that used derivatives to "assess the accuracy and completeness of their disclosure."
August 02, 2010
IRS Starts Implementing Pension Relief RulesThe Internal Revenue Service has posted a pair of notices that implement provisions of the Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010.
August 02, 2010
IRS Starts Implementing Pension Relief RulesThe Internal Revenue Service has posted a pair of notices that implement provisions of the Preservation of Access to Care for Medicare Beneficiaries and Pension Relief Act of 2010.
August 01, 2010
Feds to hospitals: Pay employees what they earnA new federal investigation of healthcare industry pay practices is underway after it came to light that many hospitals and nursing homes have not been paying proper overtime to their employees.
August 01, 2010
Advice to the SECWhen it comes to the fiduciary standard, and the six-month study that the SEC will conduct to determine whether brokers should be held to such...
August 01, 2010
Ethics update: Don't take shortcuts to credibilityFINRA is once again warning advisors with securities licenses that using ghostwritten communication materials may violate NASD Rule 2210.
August 01, 2010
Feds to hospitals: Pay employees what they earnA new federal investigation of healthcare industry pay practices is underway after it came to light that many hospitals and nursing homes have not been paying proper overtime to their employees.