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.
Advisors give 151A a big thumbs down
By Daniel WilliamsNearly two-thirds of our respondents say that they do not support 151A, suggesting the move promises to cause more problems than it seeks to fix.
February 25, 2010
SEC eyes target-date fundsTarget-date funds are the newest product in the Securities and Exchange Commission's crosshairs. Chairman Mary Schapiro recently announced the agency will begin examining the way...
February 22, 2010
Editor's Choice for the Week of February 22, 2010: Dodd Expected to Unveil Financial Re-Reg BillWhat's happening this week.
February 17, 2010
Lincoln Expands 403(b) Compliance ServicesLincoln National Corp. has introduced a transaction monitoring service for 403(b) plan sponsors.
February 17, 2010
Groups Fight Senator Johnson Legislation Amendment on Fiduciary DutyJohnson amendment would delete broker fiduciary requirement from financial reform bill
February 17, 2010
SEC Approves Money Market Reforms to Better Protect InvestorsNew weekly requirement stipulate that at least 30 percent of assets must be in cash, U.S. Treasury securities, etc., and no more than 5 percent can be in illiquid securities.