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.
Why an Optimistic FPA President, Tom Potts, Wants Regulation: The Weekend Interview
By James J. Green, Joyce HansonFPA President Tom Potts expanded on that foundation-building work in a follow-up interview, along with FPA CEO Marv Tuttle, with Investment Advisor on May 12, before the Senate passed Senator Christopher Dodd's financial services reform bill.
May 20, 2010
WM Exclusive Interview with Mercer BullardImpact of fiduciary reform; fixing retirement, Goldman's duty.
May 20, 2010
Democrats Succeed on Dodd Bill Cloture Vote in Senate; Final Vote Is Expected FridaySenate Democrats were successful on Thursday, May 20, in invoking cloture on Senator Christopher Dodd's (D-Connecticut) financial services reform bill, S. 3217. Further debate on...
May 20, 2010
Democrats Succeed on Dodd Bill Cloture Vote in Senate; Final Vote Expected SoonSenate Democrats were successful on Thursday, May 20, in invoking cloture on Senator Christopher Dodd's (D-Connecticut) financial services reform bill, S. 3217.
May 19, 2010
Dodd Bill Cloture Vote Fails in Senate; Democrats Will Try Again ThursdayThe cloture vote failed in the Senate on Wednesday, May 19, as Democrats did not garner enough votes to finish debate on Senator Christopher...
May 18, 2010
SEC Warns Investors of Bogus 'U.S. Securities and Equities Administration'A sham outfit calling itself the "U.S. Securities and Equities Administration" may be charging investors fees to remove alleged stock restrictions or to release non-existent government funds, the U.S. Securities and Exchange Commission (SEC) warns.
May 18, 2010
IRS Issues Guide on Small Business Health Care Tax CreditCredit designed to encourage small employers to offer health insurance coverage for the first time or maintain coverage they already have
May 18, 2010
403(b) Plans 'Remarkably' Healthy After Recession, PSCA Survey FindsDespite a potentially crushing recession, the 403(b) retirement plan system appears to be healthier than ever. That's the finding from a survey released last week from the Profit Sharing/401k Council of America (PSCA).