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.
FIO director: Who's it going to be?
By Brian AndersonInterested in perhaps the most influential job in the insurance industry? You have until Oct. 20 to apply.
October 05, 2010
SEC Proposal to Eliminate 12b-1 Should Be Considered by Fund Boards: Law FirmThe effects of the SEC's proposal to eliminate Rule 12b-1 may have far-reaching and multi-level implications, according to Diana McCarthy, partner at Drinker Biddle.
October 04, 2010
Plan Administrators to Feds: Help!Benefit plan administrators need more time to figure out how to use the government's electronic report filing system, according to the American Society of Pension Professionals & Actuaries.
October 01, 2010
SEC mandates plain English for investment advisor brochureIf you're a registered investment advisor, get ready to disclose more information on your Form ADV, Part 2 and to use plain English.
October 01, 2010
About Those Other SEC Studies ...Among the litany of studies (close to 17 of them, along with 95 rulemakings) that the SEC is charged with conducting under the Dodd-Frank Act,...
October 01, 2010
The Future of 12b-1 FeesOn July 21, 2010, the SEC voted to rescind Rule 12b-1 in its entirety and replace it with a new rule, Rule 12b-2. What does this...
October 01, 2010
Dissecting the FSI's Position on FiduciaryThe Financial Services Institute (FSI) has become, in essence, the red-headed stepchild in the fiduciary debate among advisory trade groups. FSI believes the Securities...
September 30, 2010
More ways to fail at direct mailLast month, we talked about some strategies to absolutely avoid in direct mail. Here are some more not-to-dos.