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.
Battle rages on over 151A
By Brian AndersonOn Tuesday the U.S. Court of Appeals for the Washington D.C. Circuit ordered the Securities and Exchange Commission to reconsider Rule 151A, which deems annuities linked to equity indexes to be securities subject to registration with the SEC.
July 19, 2009
Do What It Takes To Get Heard On Financial ReformRegulatory reform of the financial industries is all the buzz on Capitol Hill.
July 14, 2009
Congress Praises SEC's Schapiro for Cracking the WhipLawmakers press the SEC Chair to continue taking bold steps
July 10, 2009
Ameriprise Hit with SEC Enforcement ActionAmeriprise Financial Services, Inc., has agreed to pay the Securities and Exchange Commission $17.3 million to settle an enforcement action.
July 10, 2009
SEC Acts Against B-DThe U.S. Securities and Exchange Commission has announced an enforcement action against a broker-dealer subsidiary of a company that is active in the insurance industry.
July 09, 2009
SEC Acts Against B-DThe U.S. Securities and Exchange Commission has announced an enforcement action against a broker-dealer subsidiary of a company that is active in the insurance industry.
July 01, 2009
Court Orders SEC to Reconsider 151AA U.S. appeals court ordered the Securities and Exchange Commission (SEC) to reconsider Rule 151A, which classified indexed annuities as a securities product, thus subjecting them to federal oversight. The U.S. Court of Appeals for the D.C.
July 01, 2009
This will go on your permanent recordFINRA wants to make its disciplinary actions permanently available to the public even if an offending advisor leaves the business.