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.
The Obama Regulatory Proposal: Reaction From IA Blogger Bob Clark
By Bob Clark, Bob ClarkThe Obama Regulatory Proposal: Reaction From IA Blogger Bob Clark
June 17, 2009
Regulatory alert: Obama plan calls for tighter industry regulationAs part of a sweeping package of financial services industry regulations revealed on Wednesday, June 17, the Obama administration has still opted to let states retain much of their current regulatory oversight. A new department, the Office of National Insurance, has been proposed to act as a government watchdog to...
June 17, 2009
Obama Floats Financial Services Reform PlanBig changes in store for B/Ds, RIAs, insurers, but no SRO for advisors
June 16, 2009
Regulatory alert: Obama plan calls for tighter industry regulationAs part of a sweeping package of financial services industry regulations revealed on Wednesday, June 17, the Obama administration has still opted to let states retain much of their current regulatory oversight. A new department, the Office of National Insurance, has been proposed to act as a government watchdog to...
June 15, 2009
Obama Plan Suggests Regulation Of Large InsurersA draft of Obama administration financial services regulatory reform principles suggests that some large insurers may come under the jurisdiction of a general federal insurance regulator.
June 14, 2009
Obama Plan Suggests Regulation Of Large InsurersA draft of Obama administration financial services regulatory reform principles suggests that some large insurers may come under the jurisdiction of a general federal insurance regulator.
June 10, 2009
Investment Advisor Charged in $6 Million TheftThe SEC and the U.S. Attorney's Office for the Southern District of NY, have charged the co-Founder and Principal of AFW Wealth Advisors, Matthew D. Weitzman, with stealing "more than $6 million in investor funds for his own personal use."
June 09, 2009
Reform May Not Be OptionalA draft of Obama administration financial services regulatory reform principles suggests that some large insurers may come under the jurisdiction of a general federal insurance regulator.