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.
FINRA Slows Fines and Enforcement Actions
By Melanie WaddellB/Ds and reps saw fewer fines and enforcement actions in 2008
June 01, 2009
The SEC And Innovation In Annuities: What Is NeededMany of the developments and anxieties of the first quarter of 2009 have been attributable to the financial crisis.
June 01, 2009
Want some regulation?Do you want to keep power in the hands of the states, move to a more centralized federal oversight, or leave it as is?
June 01, 2009
IRS Answers EOLI QuestionsA grantor trust may be able to be the owner of an employer-owned life insurance contract, but a qualified plan that is supported by a trade or business cannot.
June 01, 2009
B/D News & ProductsThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...
June 01, 2009
Not Just the CCOWhile the chief compliance officer (CCO) should of necessity be the main player in the compliance review process, whenever possible I strongly recommend that at...
June 01, 2009
Danger & Opportunity: Obama and SEC Enforcement Under MicroscopeAs the Obama Administration was ringing in its first 100 days in office in early May, the Securities and Exchange Commission's enforcement division was awaiting...
May 31, 2009
Want some regulation?Do you want to keep power in the hands of the states, move to a more centralized federal oversight, or leave it as is?