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.
Readers spot holes in Court decision
By Daniel WilliamsLast week we reported that the U.S. Court of Appeals had remanded Rule 151A, sending it back to the SEC for further analysis and investigation. Since that time, we've heard from many of you, voicing your thoughts on this decision. Below,
July 28, 2009
TD Ameritrade Criticizes SEC Surprise Audit ProposalIn comment letter, Tom Bradley urges advisors to also weigh in on custody rule
July 28, 2009
Witnesses Back Federal RoleA consumer group representative and a law professor today told a Senate panel that they think the federal government should help regulate the insurance industry.
July 28, 2009
Witnesses Back Federal RoleA consumer group representative and a law professor today told a Senate panel that they think the federal government should help regulate the insurance industry.
July 27, 2009
Blogger: Rule 151A Is DeadA former insurance industry executive who has opposed U.S. Securities and Exchange Commission efforts to regulate indexed annuities says he thinks the SEC will drop those efforts.
July 27, 2009
Blogger: Rule 151A Is DeadA former insurance industry executive who has opposed U.S. Securities and Exchange Commission efforts to regulate indexed annuities says he thinks the SEC will drop those efforts.
July 27, 2009
Financial services leaders not happy with FINRA's new adsFinancial services industry leaders are voicing their disapproval of FINRA's new ad campaign, saying the advertisements shed a negative light on the role of...
July 24, 2009
FINRA Sets FinesThe Financial Industry Regulatory Authority says it has fined 5 bank broker-dealers a total of $1.65 million in connection with allegations of inadequate oversight of sales of variable annuities and other products.