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.
Growth, and Advocacy
By James J. GreenTaking a fiduciary approach and putting the client first aren't marketing strategies adopted by the National Association of Personal Financial Advisors in the wake of...
January 29, 2009
Small Banks To Report Less DataA community bank revenue measure is set to disappear.
January 28, 2009
Senators doubt SEC's ability to regulateSenate Banking Committee Chairman Christopher Dodd said government regulators need to pay more attention to potential fraud by fund managers, according to MarketWatch. "Seems to me we need to go back and revisit the whole model for examining
January 28, 2009
Insurers Sue To Block SEC RuleThe equity index annuity industry is asking a Washington-based federal appeals court for expedited review of the U.S. Securities and Exchange Commission decision subjecting some EIAs to federal oversight.
January 28, 2009
NAIC's Susan Voss on Rule 151A and SEC's New ChairpersonIowa Insurance Commissioner and NAIC Vice President Susan Voss discusses the recent passage of Rule 151A and what your next steps should be. Plus, find out what may be in store for the industry...
January 27, 2009
Mary Schapiro Is SEC ChairMary Schapiro is now officially the chairwoman of the Securities and Exchange Commission.
January 26, 2009
House Panel To Name Subcommittee MembersThe House Financial Services Committee plans to meet at 10:15 a.m. Tuesday to organize its operations.
January 22, 2009
DOL/IRS Craft Auto Enroll Manual for Small BusinessesThe U.S. Department of Labor (DOL) and the Internal Revenue Service (IRS) have released a new publication to help small employers better understand automatic enrollment for 401(k) plans offered to their employees.