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.
Lawmaker Slams Greenberg
By Arthur D. PostalMaurice Greenberg said today that the government effort to bail out American International Group Inc. has failed.
April 01, 2009
IRS Posts COBRA AnswersThe Internal Revenue Service has released more advice about how to interpret the new health benefits continuation rules.
April 01, 2009
New DOL RegsDepartment of Labor (Employee Benefits Security Administration, 29 CFR Part 2550, Investment Advice--Participants and Beneficiaries; Final Rule) regulations proposed in the Federal Register on January...
April 01, 2009
Group Think? The SEC and FINRA are hosting five regional CCOutreach BD regional seminars beginning May 13 for broker/dealer firms. The seminars will feature panelists from...
April 01, 2009
All About EnforcementIt's seems a daily occurrence now that the Securities and Exchange Commission levies an enforcement action against a financial services firm--a tell-tale sign that SEC...
April 01, 2009
B/D Briefing: News & ProductsFINRA has proposed a rule to amend the Uniform Application for Securities Industry Registration or Transfer form (U4) and the Uniform Termination Notice for Securities...
April 01, 2009
Soapbox: How to Restore TrustIt's no secret that most individuals are unhappy with the investment advice they've received recently. Unless advisors received a source message from the spirit world...