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.
SIFMA Report: Retail Investors Would Lose Under a Uniform Fiduciary Standard
By Melanie WaddellSIFMA study: Retail investors would experience "reduced product and service availability and higher costs" under a uniform standard "that does not appropriately recognize the important distinctions among business models."
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.
October 27, 2010
What the Uniform Fiduciary Standard Will Not BeSIFMA CEO Tim Ryan says matter-of-factly: the "uniform" fiduciary standard that the Securities and Exchange Commission (SEC) is working on will not be the fiduciary standard under the Advisers Act of 1940, because, he opined, we have to have a standard that will "work for everyone."
October 26, 2010
FinCen Reorganizes Secrecy Act RegulationsThe Financial Crimes Enforcement Network is giving the Bank Secrecy Act rules that apply to insurers a part of their own in the Code of Federal Regulations.