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.
FINRA To Update Media Regs
By Allison BellThe U.S. Securities and Exchange Commission is reviewing a proposed rule that could affect some variable product sellers' media relations operations.
August 06, 2009
Getting Greenburg's pocket changeIs a million dollars a lot of money anymore? Little surprise, Donald Trump doesn't think so. And I'm sure Hank Greenburg simply reached into his...
August 06, 2009
Greenberg Settles With SECMaurice Greenberg, former chairman of American International Group Inc., has agreed to pay $15 million to settle U.S. Securities and Exchange Commission charges that he made AIG's finances look artificially strong.
August 06, 2009
Greenberg Settles With SECMaurice Greenberg, former chairman of American International Group Inc., has agreed to pay $15 million to settle U.S. Securities and Exchange Commission charges that he made AIG's finances look artificially strong.
August 04, 2009
IRS: Let Us Help YouThe Internal Revenue Service is encouraging business taxpayers and business associations to submit tax concerns to the the Industry Issue Resolution program.
August 04, 2009
IRS: Let Us Help YouThe Internal Revenue Service is encouraging business taxpayers and business associations to submit tax concerns to the the Industry Issue Resolution program.
August 04, 2009
BofA to Pay SEC $33 Million Over Merrill BonusesThe SEC filed charges against BofA for misleading investors about billions of dollars in bonuses that were being paid to Merrill Lynch executives.
August 03, 2009
Editor's Blog: Quack, QuackA bird that's waddling around near the water just might be a duck. An apparent Federal Reserve conflict of interest between an urge to cozy up to banks and a need to regulate those banks just might be a . . . .