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.

Federal Regulation

Caveat Vendor

By Jane Wollman Rusoff
Growling Pays

March 30, 2008

Growling Pays
ASPPA, COPA Weigh In On Proposed Hybrid Regs

March 28, 2008

ASPPA, COPA Weigh In On Proposed Hybrid Regs
DOD: Cash Payments May Not Violate Tricare Rules

March 28, 2008

DOD: Cash Payments May Not Violate Tricare Rules
FINRA Implements Rule Easing Sales Lit Review Standards

March 27, 2008

FINRA Implements Rule Easing Sales Lit Review Standards
Cox to Get Rand Recommendations by May 5

March 25, 2008

Cox to Get Rand Recommendations by May 5
Big Changes In Store For

March 23, 2008

Big Changes In Store For
IRS Rules On Cedings To Non-U.S. Carriers

March 14, 2008

IRS Rules On Cedings To Non-U.S. Carriers