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.
Northwestern Mutual Sued Over Pay
By Trevor ThomasThree former sales and financial representative for Northwestern Mutual Life Insurance Company are suing the company.
June 25, 2009
NAVA testimony questions added industry regulationSpeaking before the House Financial Services Committee on June 24, NAVA president and CEO Cathy Weatherford offered her organization's input on President Obama's proposals to reform the regulation of the financial services industry
June 25, 2009
SEC takes on money market fundsThe Securities and Exchange Commission is rewriting rules that would make money market funds safer for investors, the New York Times reports. The Commission is proposing that retail funds be required to keep "at least 5 percent of their assets
June 24, 2009
NAVA testimony questions added industry regulationSpeaking before the House Financial Services Committee on June 24, NAVA president and CEO Cathy Weatherford offered her organization's input on President Obama's proposals to reform the regulation of the financial services industry
June 22, 2009
More Madoff Fraud Charges LeviedThe Securities and Exchange Commission on June 22 charged a broker/dealer and four individuals with securities fraud, alleging that they collectively raised billions of dollars from investors for Bernard Madoff's Ponzi scheme.
June 19, 2009
The Obama Regulatory Proposal: Reaction From IA Blogger Bob ClarkThe Obama Regulatory Proposal: Reaction From IA Blogger Bob Clark
June 19, 2009
Regulatory update: Industry groups mostly supportive of Obama proposalAmid what promises to be sweeping changes to the way the financial services industry is overseen by the federal government, many trade organizations and insiders say they feel Obama's proposals will do the right thing.
June 18, 2009
Regulatory update: Industry groups mostly supportive of Obama proposalAmid what promises to be sweeping changes to the way the financial services industry is overseen by the federal government, many trade organizations and insiders say they feel Obama's proposals will do the right thing.