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.
The Practice Blog: A Focus on Dodd-Frank and Fiduciary at D.C. Gathering
By Melanie WaddellSome of the best legal, economic, and investing minds gathered in Washington on Thursday to talk about the aftershocks of the Dodd-Frank Act.
September 22, 2010
PPACA: IRS May Extend Anti-Discrimination RulesThe Internal Revenue Service (IRS) is asking how it ought to go about applying rules discouraging discrimination by self-insured employer health plans to insured group plans.
September 22, 2010
Will ‘Wall Street’ Sequel Influence SEC Whistleblowers?It might be too late for the movie's protagonist, but can other would-be Bud Foxes be saved? The securities employment law firm of Stuart D. Meissner LLC. thinks so, and is looking to recruit potential whistleblowers by launching SECSnitch.com.
September 21, 2010
PPACA: IRS May Extend Anti-Discrimination RulesThe Internal Revenue Service (IRS) is asking how it ought to go about applying rules discouraging discrimination by self-insured employer health plans to insured group plans.
September 21, 2010
SEC Begins Hearings on State of Municipal Securities MarketsThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.
September 21, 2010
SEC Begins Hearings on State of Municipal Securities MarketsThe SEC launched its first in a series of field hearings on Tuesday aimed at exploring disclosure and transparency, credit ratings and internal controls in municipal securities markets.
September 20, 2010
SEC Votes to Increase Disclosure of Banks' Short-Term BorrowingsCurrent practice, though legal, gives distorted view of banks' debt and risk level
September 20, 2010
DOL's Borzi Lays Out EBSA's AgendaPhyllis Borzi, Assistant Secretary of Labor for Employee Benefits Security Administration, told attendees at the annual Department of Labor (DOL) Speaks conference in National Harbor, Md., on Monday that EBSA continued progress on its "pension agenda."