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.
Fed Regulation Momentum Slows A Bit
By Arthur D. PostalEfforts by Congress and the Obama administration to provide federal aid to and greater oversight of life insurers are slowing down.
May 01, 2009
Speakers Warn Of Over-RegulationIndependent agents here at a conference heard Sen. Jon Tester, D-Mont., voice strong support for state insurance regulation.
May 01, 2009
New IRS DB Funding RulesThe Internal Revenue Service (IRS) recently issued regulatory guidance on defined benefit pension plans that provides some needed relief for DB plan sponsors. Citing the...
May 01, 2009
Clark at Large: CreationismMary Schapiro has a problem. Sure, as President Obama's appointee to chair the SEC she headed the list of the most influential women in wealth...
May 01, 2009
Danger & Opportunity: The SEC ReformationFinancial services regulatory reform has been bandied about for some time now, but we got a taste of what the Obama Administration and the Securities...
May 01, 2009
B/D News & ProductsThe U.S. House of Representatives approved legislation in early April that would tie pay to performance at companies that have received direct capital investments under...
April 30, 2009
Speakers Warn Of Over-RegulationIndependent agents here at a conference heard Sen. Jon Tester, D-Mont., voice strong support for state insurance regulation.
April 30, 2009
IRS To Make Trust RegsThe Internal Revenue Service is seeking comments on proposed rules that would affect inclusion of trust property in the grantor's estate.