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.
B/D News & Products
By Staff WriterThe U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...
April 30, 2009
Regulation bluesAs if the industry didn't already have enough on its plate with SEC 151A looming, word leaked recently that a bill is making its way through the House that would give the biggest insurance companies an option to choose who would regulate them -- state governments or the Fed.
April 30, 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.
April 30, 2009
Regulation bluesAs if the industry didn't already have enough on its plate with SEC 151A looming, word leaked recently that a bill is making its way through the House that would give the biggest insurance companies an option to choose who would regulate them -- state governments or the Fed.
April 29, 2009
IRS To Make Trust RegsThe Internal Revenue Service is seeking comments on proposed rules that would affect inclusion of trust property in the grantor's estate.
April 29, 2009
Groups To Congress: Start BroadFinancial services regulatory reform should include a dedicated, functional federal insurance regulator, according to eight financial services groups.
April 29, 2009
IRS Eyes Secondary MarketThe Internal Revenue Service and its parent, the Treasury Department, are looking at tax issues related to life settlement transactions.
April 29, 2009
SEC Names Acting Directors of Trading and MarketsBrigagliano and Gallagher replace Eric Sirri