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.
FINRA Head Calls For Scrutiny Of "Wealth Event" Sales
By Allison BellFinancial services company supervisors should look carefully at sales involving money that came from an inheritance or a retirement plan cashout, according Financial Industry Regulatory Authority Chairman Richard Ketchum.
May 25, 2010
IRS Sets HSA AmountsThe Internal Revenue Service has left the 2011 health savings account "indexed amounts" unchanged.
May 25, 2010
IRS Sets HSA AmountsThe Internal Revenue Service has left the 2011 health savings account "indexed amounts" unchanged.
May 24, 2010
California Agency Proposes Settlement RulesThe California Department of Insurance is rushing to implement a new life settlement law.
May 24, 2010
California Agency Proposes Settlement RulesThe California Department of Insurance is rushing to implement a new life settlement law.
May 22, 2010
Why an Optimistic FPA President, Tom Potts, Wants Regulation: The Weekend InterviewFPA 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 21, 2010
Dodd Reform Bill POV: Harvey Pitt, Former SEC ChairmanBefore the Senate passed its reform bill, the Restoring Financial Stability Act, on Thursday, May 20, former SEC Chairman Harvey Pitt, who's now the CEO of Kalorama Partners, detailed his viewpoints on financial services reform to Investment Advisor.
May 21, 2010
Mercer Bullard, Investor Advocate, Talks About Financial ReformInvestor advocate Mercer Bullard is concerned about the impact of financial reforms that are intended to help investors. One reform in the Senate bill, which passed on Thursday, is an extension of the fiduciary standard of conduct to broker/dealers.