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 Gives Reporting Break to Employers for 2011
By John SullivanIn case you missed it, the Internal Revenue Service (IRS) released Notice 2010-69 on October 12.
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.
October 17, 2010
Ex-Countrywide CEO Mozilo Settles SEC Charges for $22.5 MillionAngelo Mozilo, former CEO of Countrywide Financial, has agreed to pay a settlement of $22.5 million resulting from charges that he and two other executives misled investors during the subprime mortgage crisis.
October 15, 2010
Form ADV Part 2: What Advisors Need to Know, Part 2The SEC's mandated changes to Form ADV, Part II is not a regulation that only compliance officers should fret about.
October 13, 2010
SEC Issues ABS Proposal; Adopts Interim Rule on Security-Based SwapsThe Securities and Exchange Commission (SEC) on Wednesday issued a proposed rule to enhance disclosure to investors in the asset-backed securities (ABS) market, and...