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.
Industry Wants SEC Accounting Proposal Details
By Jim ConnollyInsurance industry groups and accounting experts say they need to know more before they can weigh in on U.S. Securities and Exchange Commission efforts to ...
September 04, 2008
IRS Expands Small Plan Funding ReliefThe Internal Revenue Service is trying to be more flexible about how it will apply new defined benefit plan rules.The IRS has described the changes ...
September 01, 2008
Senior fraud cases on fast trackFINRA is increasing the pace of investigations and enforcement actions against advisors who defraud older investors, according to the Wall Street Journal. FINRA's goal is to protect seniors against unscrupulous financial advisors who take
September 01, 2008
Putting Required Minimum Distributions On The Advisor's ChecklistFinancial advisors say is extremely important to add the following item to their client checklists for the Fall season: "make sure that clients take their required minimum distributions from qualified retirement accounts and IRAs."
September 01, 2008
SEC, DOL to Share DataThe SEC and Department of Labor (DOL) agreed July 29 to share information on retirement and investments in what they said was a bid to...
September 01, 2008
What's NEXT for Reg S-P?Firms recruiting breakaway brokers need to be wary in the wake of a very stern administrative law judge's decision sanctioning NEXT Financial Group, Inc. for...
August 31, 2008
Senior fraud cases on fast trackFINRA is increasing the pace of investigations and enforcement actions against advisors who defraud older investors, according to the Wall Street Journal. FINRA's goal is to protect seniors against unscrupulous financial advisors who take