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.
Litigation A-Go-Go
By Kate McBrideFollowing months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...
January 29, 2008
Dalbar Creates Web Compliance DivisionA firm that rates financial services company customer service efforts wants to help the companies handle Internet compliance issues.Dalbar Inc., Boston, says it has started ...
January 29, 2008
Dalbar Creates Web Compliance DivisionA firm that rates financial services company customer service efforts wants to help the companies handle Internet compliance issues.Dalbar Inc., Boston, says it has started ...
January 28, 2008
Executive Resumes Duties At AssurantThe board of Assurant Inc. has reinstated Robert Pollock as president of the company.Pollack had been on administrative leave since July, when the U.S. Securities ...
January 25, 2008
Senate Shift Could Affect Federal Charter EffortSenate Republicans have changed the committee assignment of a lawmaker who has helped lead efforts to create a federal insurance regulatory system.Sen. John Sununu, R-N.H., ...
January 23, 2008
Senate Panel To Review Federal Charters And ReinsuranceA key congressional leader today unveiled his 2008 agenda.Sen. Chris Dodd, D-Conn., chairman of the Senate Banking Committee, says the committee will look into the ...
January 20, 2008
IRS Asks For Comment On New VA Reserving GuidelineThe IRS has released a notice to alert life insurers to federal income tax issues that may arise out of the adoption of proposed Actuarial ...
January 20, 2008
IRS Asks For Comment On New VA Reserving GuidelineThe IRS has released a notice to alert life insurers to federal income tax issues that may arise out of the adoption of proposed Actuarial ...