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.
Senate Confirms Hartford Alum
By Arthur D. PostalA former insurance company executive who has testified before Congress in favor of an optional federal charter system is now the deputy secretary of the Treasury.
May 17, 2009
IRS Aids Storm-Tossed PlansThe Internal Revenue Service is trying to throw a life line to some 401(k) plan sponsors that are struggling to stay afloat.
May 17, 2009
Stop StressingThe federal government has completed its stress tests of the nation's 19 largest banks and bank-like institutions and in this era of trillions of dollars, there is good news.
May 15, 2009
SEC Proposes Custody RulesThe Securities and Exchange Commission issued a proposed rule May 14 that would put tighter controls on investment advisors who maintain custody of their clients' assets.
May 15, 2009
More government meddling?The SEC has proposed rule amendments that, if adopted, would include a yearly "surprise exam" by an independent public accountant for investment advisors who have...
May 14, 2009
SEC votes to consider surprise examination rulesIn a unanimous agreement Thursday, the Securities and Exchange Commission voted to consider proposals that investment advisors who manage or have access to client assets...
May 14, 2009
Kanjorski Eyes Federal RoleRep. Paul Kanjorski says the federal government should have a role in regulating insurance.
May 14, 2009
Kanjorski Eyes Federal RoleRep. Paul Kanjorski says the federal government should have a role in regulating insurance.