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 votes to consider surprise examination rules
By Staff WriterIn a unanimous agreement Thursday, the Securities and Exchange Commission voted to consider proposals that investment advisors who manage or have access to client assets...
May 13, 2009
Liddy: We Plan To Repay YouAmerican International Group Inc: Chairman Edward Liddy today told a congressional panel that he hopes AIG can repay all money owed to the government within 5 years.
May 13, 2009
Liddy: We Plan To Repay YouAmerican International Group Inc: Chairman Edward Liddy today told a congressional panel that he hopes AIG can repay all money owed to the government within 5 years.
May 11, 2009
Quotable: glossing over the regulationStacy Braverman give her take on why settlement regulation gets glossed over.
May 11, 2009
Quotable: glossing over the regulationStacy Braverman give her take on why settlement regulation gets glossed over.
May 10, 2009
EBSA Works On Plan-Asset RegsAn arm of the U.S. Department of Labor is conducting a review of a regulation that governs treatment of employees' retirement plan contributions.
May 08, 2009
ILMA commends Senate regulationThe Institutional Life Markets Association trade group is lauding the U.S. Senate Special Committee on Aging for turning its attention to the emerging secondary market for life insurance, also known as life settlements.
May 08, 2009
ILMA commends Senate regulationThe Institutional Life Markets Association trade group is lauding the U.S. Senate Special Committee on Aging for turning its attention to the emerging secondary market for life insurance, also known as life settlements.