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.
Asking The Wolves
By Steve PiontekI have to admit I don’t know any sheep farmers, but even I know that it’s not customary for these folks to ask the wolf ...
September 21, 2009
SEC, U.K.'s FSA Eye Further Regulatory CooperationTo begin, will collect data on hedge funds to help control risk
September 20, 2009
IRS Posts Roth Rollover AdviceThe Internal Revenue Service is weighing in on when employer-plan-to-Roth rollovers should or should not be included in a participant's taxable income.
September 18, 2009
IRS Issues New Rules For Plan ActuariesThe IRS is proposing amendments to its rules governing actuarial services for employee pension plans covered under the Employee Retirement Income Security Act of 1974.
September 18, 2009
IRS Issues New Rules For Plan ActuariesThe IRS is proposing amendments to its rules governing actuarial services for employee pension plans covered under the Employee Retirement Income Security Act of 1974.
September 17, 2009
Leg Activity RisesState and federal lawmakers introduced at least 10,000 pieces of legislation with potential effects on the insurance industry between January and July, compliance consultants report.
September 17, 2009
SEC OKs Media Reg UpdateThe U.S. Securities and Exchange Commission has approved a rule change that will affect some variable product sellers' marketing and media relations operations.
September 17, 2009
SEC Eyes Secondary MarketThe head of the U.S. Securities and Exchange Commission has set up an internal task force to look into the life settlement business.