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 Addresses Settlements
By Trevor ThomasThe Financial Industry Regulatory Authority has notified member firms that they must comply with the rules governing variable life policy sales when participating in the life settlement business.
August 03, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 02, 2009
After Court's Nod On 151A, Views Differ On What SEC Will DoIndustry experts have different takes on what the Securities and Exchange Commission is going to do in the wake of a recent federal appeals court ruling
August 01, 2009
Congress Presses Schapiro to Protect InvestorsWhile members of Congress praised SEC Chairman Mary Schapiro July 14 for acting quickly to institute changes at the beleaguered agency, lawmakers said more work...
August 01, 2009
Clark at Large: Something About MaryThe drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st...
August 01, 2009
Danger & Opportunity: Consumers Take Center Stage of Reform DebateFinancial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors--the first establishing a...
July 30, 2009
OECD: Regulation should focus on financial literacyAs the financial world gets itself in a tizzy about Rule 151A, and the subsequent decision to remand said rule, the Organisation for Economic Cooperation and Development released a report saying imposing stiffer rules on banks is insufficient to