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.
Frank Aide Warns Of Federal Insurance Oversight
By Arthur D. PostalA top House committee aide has advised state insurance legislators that he believes Congress will pass legislation this year to create a federal regulator for insurance.
March 02, 2009
Feds Postpone Implementing Plan Advice RulesThe U.S. Department of Labor is extending a comment period for a final regulation that would allow 401(k) and other retirement plan fiduciaries to give plan participants investment advice.
March 01, 2009
Feds Postpone Implementing Plan Advice RulesThe U.S. Department of Labor is extending a comment period for a final regulation that would allow 401(k) and other retirement plan fiduciaries to give plan participants investment advice.
March 01, 2009
When It Pays to Fight City HallNew SEC Chairman Mary Schapiro promises better enforcement from the Commission, but the securities law firm Sutherland Asbill & Brennan's annual analysis of litigated disciplinary...
March 01, 2009
Broker/Dealer Briefing: A Shot Over the BowThe regulatory stew in Washington is beginning to come together, with Mary Schapiro confirmed to chair the SEC and with the Commission's enforcement chief, Linda...
March 01, 2009
News: SEC's Top CopLinda Chatman Thomsen, the director of the SEC's Division of Enforcement, said February 9 that she would leave the Commission and return to the private...
March 01, 2009
ICI Shares Fund-Industry Wish ListThe head of the fund-industry's advocacy group has outlined the regulatory reforms that most need Washington's attention. Here's the list, compiled by Paul Schott Stevens...
March 01, 2009
The Playing Field: Reform Is on the WayAs new Treasury Secretary Timothy Geithner was preparing to announce a four-pronged revamp of the bank bailout package--which would include a "bad bank" that allows...