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.
Danger & Opportunity: Healthcare, Financial Services Reform Making Headway
By Melanie WaddellTwo of the Obama Administration's top priorities to accomplish by year-end--healthcare and financial services reform--are well on their way to fruition. The Senate Finance Committee passed...
October 29, 2009
House Financial Services Approves Hedge Fund, Credit Ratings Agency BillsMarkup on Investor Protection Act in full force
October 29, 2009
Red Flags Rule and Insurers: Is Your Compliance Ready?The Red Flags Rule was developed to help combat fraud.
October 27, 2009
SEC Chair Speaks to SIFMAThis news originally appeared on WealthManagerWeb on 10/27/09 Securities and Exchange Commission Chairman Mary L. Schapiro spoke of the need to "restore investor confidence by focusing...
October 25, 2009
AIG Releases $12.1 Million In Executive CompAmerican International Group Inc. now has paid $12.1 million in past due executive retention payments, including $4 million to 4 top employees.
October 21, 2009
Frank Postpones Investor Protection Act Mark UpAt the request of Republicans, House Financial Services Committee will begin marking up the legislation October 27
October 20, 2009
IRS Unveils Section 2053 Estate RegsThe Internal Revenue Service has completed work on final rules that could make it easier for estate administrators to handle deductions for claims against estates.
October 20, 2009
IRS Unveils Section 2053 Estate RegsThe Internal Revenue Service has completed work on final rules that could make it easier for estate administrators to handle deductions for claims against estates.