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.
Dodd Bill Imposes Fiduciary Standard
By Arthur D. PostalCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 11, 2009
IRS To Develop Cash Balance Plan GuidanceThe Internal Revenue Service is coming out with a new batch of advice aimed at cash balance plans that have to cut their interest crediting rates to comply with a new law.
November 11, 2009
IRS To Develop Cash Balance Plan GuidanceThe Internal Revenue Service is coming out with a new batch of advice aimed at cash balance plans that have to cut their interest crediting rates to comply with a new law.
November 05, 2009
It's a sue-happy worldDon't like the way your investments performed this year? Sue your advisor. It's not just the market meltdown; investors feel they were duped, and they're...
November 03, 2009
Too Rich or Too Thin?You can never be too rich or too thin: Can we disclose ourselves out of obesity? Can disclosures replace fiduciary duty?
November 03, 2009
As Deadline Looms for Investor Protection Act, Advisor Groups Urge Congress to Include a Real Fiduciary StandardNAPFA, FPA, CFP Board and others petition House committees not to weaken investor protection
November 02, 2009
IRS Extends Government Plan Distribution Rule DeadlineThe Internal Revenue Service will be giving public employers more time to comply with final regulations on the distributions public pension plans must make when employees reach the normal retirement age.
November 01, 2009
Regulator targets use of mortgage money for securitiesIf you're considering asking clients to fund the purchase of a security by refinancing their mortgage or taking out a home-equity loan, watch out.