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 Adds W-2 Group Health Spending Option
By Allison BellEmployers that would like to report how much they spend on group health coverage for each employee will have a chance to do so in 2011.
October 11, 2010
IRS Adds W-2 Group Health Spending OptionEmployers that would like to report how much they spend on group health coverage for each employee will have a chance to do so in 2011.
October 10, 2010
At FPA Denver, Attempting to Corral Implementation of Dodd-FrankBoth sides of the regulatory equation were on display during a Sunday morning session at FPA Denver 2010.
October 08, 2010
FPA Study Finds High Satisfaction with Compliance SoftwareMost financial advisors don't use compliance software in their practice, but those who do report being satisfied with the technology, according to a new report.
October 07, 2010
FPA Study Finds High Satisfaction with Compliance SoftwareMost financial advisors don't use compliance software in their practice, but those who do report being satisfied with the technology, according to a new report.
October 07, 2010
SEC Warns Investors to Beware of ‘Steven Cooper’ ImpersonatorThe Securities and Exchange Commission has issued an alert that warns investors about a person who is falsely claiming to be an employee of the...
October 07, 2010
SEC Seeks Comments on Asset-Backed Securities ProposalThe Securities and Exchange Commission announced Wednesday it is seeking public comment on a proposed asset-backed securities disclosure rule.
October 06, 2010
FIO director: Who's it going to be?Interested in perhaps the most influential job in the insurance industry? You have until Oct. 20 to apply.