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.
OFC Bill Introduced In House
By Arthur D. PostalLegislation was introduced on Sept. 28 in the House to create an optional federal charter that is being called a "companion" bill to similar legislation ...
September 30, 2006
IRA rollover essentialsSee examples from the IRS. Learn the top 10 things every advisor should know about IRA rollovers. Click here to download the pdf.
September 30, 2006
Don't Let Clients Stumble Over ERISA LiabilityTo their surprise and dismay, some employers have learned that their voluntary benefit programs are ERISA programs, subject to all of the same requirements and liabilities...
September 29, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
New SEC Research Tool for Public CompaniesThe Securities and Exchange Commission has decided to replace its antiquated public company disclosure system called EDGAR, which uses a form-based electronic filing cabinet, with a real-time search tool with interactive capabilities.
September 28, 2006
SEC Fines Fund AdministratorA company that sells support services to insurers and other financial services companies has agreed to pay $21.4 million to settle an investigation by the ...
September 28, 2006
House Gets Federal Regulation BillA California lawmaker has introduced the House version of an "optional federal charter" bill that is already in play in the Senate.Rep. Ed Royce, R-Calif., ...
September 28, 2006
House Gets Federal Regulation BillA California lawmaker has introduced the House version of an "optional federal charter" bill that is already in play in the Senate.Rep. Ed Royce, R-Calif., ...