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.
How The Industry And NAIC Will Make Their Case Against The SEC
By Arthur D. PostalOral arguments are scheduled for Friday May 8 in the U.S. Court of Appeals for the D.C. Circuit on a suit filed by underwriters of indexed annuities and state regulators to forestall regulation of these products by the Securities and Exchange Commission.
May 03, 2009
Fed Regulation Momentum Slows A BitEfforts by Congress and the Obama administration to provide federal aid to and greater oversight of life insurers are slowing down.
May 01, 2009
SEC warns financial firms of government impersonatorsThe Securities and Exchange Commission is warning financial services firms about con artists who may use the names of actual SEC employees to mislead potential victims.
May 01, 2009
Towns Gets His WitnessesA congressional panel has pressed American International Group Inc. Chairman Edward Liddy and the trustees who oversee the government's investments in AIG to appear at a May 13 hearing.
May 01, 2009
Speakers Warn Of Over-RegulationIndependent agents here at a conference heard Sen. Jon Tester, D-Mont., voice strong support for state insurance regulation.
May 01, 2009
New IRS DB Funding RulesThe Internal Revenue Service (IRS) recently issued regulatory guidance on defined benefit pension plans that provides some needed relief for DB plan sponsors. Citing the...
May 01, 2009
Clark at Large: CreationismMary Schapiro has a problem. Sure, as President Obama's appointee to chair the SEC she headed the list of the most influential women in wealth...
May 01, 2009
Danger & Opportunity: The SEC ReformationFinancial services regulatory reform has been bandied about for some time now, but we got a taste of what the Obama Administration and the Securities...