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.
Dear AIG
By Allison BellThe U.S. Securities and Exchange Commission and American International Group Inc. recently exchanged letters about AIG's announcement of the hiring of a new chief executive officer.
October 01, 2009
SEC Criticized for MadoffCongress wasted little time in taking SEC officials to task after the securities watchdog's inspector general released September 2 a scathing report on the SEC's...
October 01, 2009
Danger & Opportunity: Financial Services Reform Bill InevitableWhile healthcare reform is priority No. 1 for the Obama Administration, financial services reform is still alive and kicking, as President Obama made very clear...
September 30, 2009
Vote Nears on Consumer Financial Protection AgencyFrank promises vote on omnibus reform bill by early November
September 30, 2009
Kotz Lays Down the Law to SEC in Wake of Madoff FailureInspector General delivers laundry list of improvements to Enforcement Division
September 29, 2009
IRS To Clarify Controlled Group RulesThe Internal Revenue Service wants to write a new regulation that would affect whether it treats a life insurance company as a member of a controlled group of corporations.
September 29, 2009
IRS To Clarify Controlled Group RulesThe Internal Revenue Service wants to write a new regulation that would affect whether it treats a life insurance company as a member of a controlled group of corporations.