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.
Coalition praises anti-151A legislation
By Andy StonehouseThe Coalition for Indexed Products has voiced its support to a newly introduced companion bill to the Meeks-Price Bill, designed to defeat the SEC's 151A efforts. Bill S.1389, introduced June 29 by Senator Ben Nelson (D-NE) and cosponsored by
July 01, 2009
Editor's Note: New American Revolution?As I explored for the first time the gritty streets of my father's birthplace a few years back, I was struck by the number of...
July 01, 2009
Clark at Large: Reality CheckOne of the talents you develop from being a reporter for too long is the ability to spot a "source" when you see one. I'm...
July 01, 2009
Danger & Opportunity: Bracing for ChangeNow that the Obama Administration has released its financial services reform plan via a White Paper June 17, it looks to be all but inevitable...
June 30, 2009
Senate Gets Annuity BillSenate members have introduced S. 1389, a bill that could reverse efforts by the U.S. Securities and Exchange Commission to claim jurisdiction over indexed annuities.
June 30, 2009
Senate Gets Annuity BillSenate members have introduced S. 1389, a bill that could reverse efforts by the U.S. Securities and Exchange Commission to claim jurisdiction over indexed annuities.
June 30, 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.
June 26, 2009
Northwestern Mutual Sued Over PayThree former sales and financial representative for Northwestern Mutual Life Insurance Company are suing the company.