Displaying 184 results
SAVINGS: Treasury suggests changes to 529 plans
The Treasury Department included recommended changes to Section 529 college savings plans in a recently issued report.
REGULATION: Senator eyes target date funds
The chairman of the Senate Special Committee on Aging said last month he plans to introduce legislation that would require target date fund managers to take on fiduciary responsibilities
REGULATORS: SEC, CFTC focus on harmonized regs
The SEC and the Commodity Futures Trading Commission recently issued a joint report that identifies differing regulatory structures between the agencies and recommends actions to address them.
LABOR: New advice rule proposal on horizon
The Labor Department last month said it plans to issue a new proposal that would govern who can provide investment advice to 401(k) plan participants.
SAVINGS: Treasury suggests changes to 529 plans
The Treasury Department included recommended changes to Section 529 college savings plans in a report it issued last month.
REGULATORS: SEC, CFTC focus on bring regs into line
The SEC and the Commodity Futures Trading Commission last month issued a joint report that identifies differing regulatory structures between the agencies and recommends actions to address them.
SEC: Strategic plan unveiled, input sought
The SEC last month published for public comment its draft strategic plan, which outlines the agency's strategic goals for fiscal years 2010 through 2015.
SAVINGS: Treasury suggests changes to Section 529 plans
The Treasury Department included recommended changes to Section 529 college savings plans in a report it issued last month.
REGULATION: States want more oversight of advisers
State securities regulators plan to seek an increase in the threshold for state regulation of investment advisers, according to a recent InvestmentNews report.
LEGISLATION: Possible funding change for SEC
A senator last month said he plans to propose legislation that would let the SEC keep the fines it charges wrongdoers, along with estimated $1.5 billion in fees it is expected to collect in the next fiscal year.
REGULATION: IRS explores tax-preparer standards
The IRS plans to make recommendations to the Obama administration on how to bolster the ethical standards of paid tax preparers.
REGULATION: Brokers, investment advisers targeted
Investment advisers and brokers would face new rules under draft legislation recently sent to Capitol Hill by the Treasury Department.
INDUSTRY: SEC asked to change industry arbitration rule
A trade group for attorneys who represent investors has asked the SEC to end the mandatory use of industry arbitrators.
REGULATION: IRS explores tax preparer standards
The Internal Revenue Service plans to make recommendations to the Obama administration on how to bolster the ethical standards of paid tax preparers.
REGULATION: SEC staff to weigh in on 12(b)-1 fees
The SEC is again exploring possible changes to a rule governing the 12(b)-1 fees that investors pay to mutual funds.
REGULATION: Brokers, investment advisers targeted
Investment advisers and brokers would face new rules under draft legislation sent to Capitol Hill last month by the Treasury Department.
INDUSTRY: SEC asked to change industry arbitration rule
A trade group for attorneys who represent investors has asked the SEC to end the mandatory use of industry arbitrators.
REGULATION: IRS explores tax preparer standards
The Internal Revenue Service plans to make recommendations to the Obama administration on how to bolster the ethical standards of paid tax preparers.
REGULATION: SEC staff to weigh in on 12(b)-1 fees
The SEC is again exploring possible changes to a rule governing the 12(b)-1 fees that investors pay to mutual funds.
REGULATION: Hearing scheduled for target date funds
Federal regulators are accepting requests to participate in a June 18 hearing that will focus on target date funds.
