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 Acts Against B-D
By staff WriterThe U.S. Securities and Exchange Commission has announced an enforcement action against a broker-dealer subsidiary of a company that is active in the insurance industry.
July 01, 2009
Coalition praises anti-151A legislationThe Coalition for Indexed Products has voiced its support to a newly introduced companion bill to the Meeks-Price Bill, designed to defeat the SEC's 151A efforts. Bill S.1389, introduced June 29 by Senator Ben Nelson (D-NE) and cosponsored by
July 01, 2009
Liddy: AIG StabilizingThe finances of American International Group Inc. are "far more stable" than they were a few months ago, according to the company's top executive.
July 01, 2009
The IRS Weighs InIf past participants of stranger-owned life insurance were promised easy money at no cost, the rules of the game have changed. In May 2009, the...
July 01, 2009
Editor's Note: New American Revolution?As I explored for the first time the gritty streets of my father's birthplace a few years back, I was struck by the number of...
July 01, 2009
Clark at Large: Reality CheckOne of the talents you develop from being a reporter for too long is the ability to spot a "source" when you see one. I'm...
July 01, 2009
Danger & Opportunity: Bracing for ChangeNow that the Obama Administration has released its financial services reform plan via a White Paper June 17, it looks to be all but inevitable...
June 30, 2009
Senate Gets Annuity BillSenate members have introduced S. 1389, a bill that could reverse efforts by the U.S. Securities and Exchange Commission to claim jurisdiction over indexed annuities.