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.
IRS To Develop Cash Balance Plan Guidance
By staff WriterThe 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 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.
November 01, 2009
What the Future Will BringWhat worries these advisors? What gives them cause for hope? Bob Len is troubled by some regulations, particularly those that stand in the way of globalization,...
November 01, 2009
SEC Sets Out Strategic PlanThe Securities and Exchange Commission published for public comment in October its Draft Strategic Plan outlining the Commission's strategic goals for fiscal years 2010 through...