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.
SEC OKs Media Reg Update
By Staff WriterThe U.S. Securities and Exchange Commission has approved a rule change that will affect some variable product sellers' marketing and media relations operations.
September 16, 2009
Rakoff's Bank of America Opinion: "The Tipping Point"In September 2013 when we look back on Lehman Bothers' demise, will we also see a "reformed" financial system and regulatory structure? One that may be hard to recognize compared to today's structure? If "yes," look to Judge Jed S. Rakoff's opinion.
September 15, 2009
OPM To Offer Partner BenefitsThe U.S. Office of Personnel Management has proposed a rule that would permit federal employees to buy coverage for same-sex partners through the federal long term care insurance program.
September 15, 2009
SEC-Bank of America Settlement "Does not Comport"Judge Jed S. Rakoff of the United States District Court of the Southern District of New York has thrown out a proposed settlement between the SEC and Bank of America.
September 14, 2009
Service Reviews AdsA company says it can help registered investment advisory firms comply with state and federal requirements for advertisements and other marketing materials, such as brochures and seminar scripts.
September 11, 2009
Unfreezing Procedures AddedThe Internal Revenue Service has created procedures for multiemployer defined benefit pension plans that have decided to revoke efforts to freeze their funded status.
September 11, 2009
IRS To Adjust GST RegsThe Internal Revenue Service wants to revise the reporting rules governing transactions that may be helping taxpayers avoid the generation-skipping transfer tax.
September 11, 2009
IRS To Adjust GST RegsThe Internal Revenue Service wants to revise the reporting rules governing transactions that may be helping taxpayers avoid the generation-skipping transfer tax.