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.
DOL Finalizes Investment Advice Rule
By Melanie WaddellDOL announced January 17 that it has finalized its rule making investment advice more accessible for millions of Americans in 401(k)s and individual retirement accounts
January 15, 2009
Schapiro's 'light touch' leaves scarsI'd hate to see her heavy touch. The Wall Street Journal reports on Mary Schapiro's time at the NASD and as head of FINRA, attempting...
January 15, 2009
Coalition Sues To Overturn SEC Annuity RuleThe U.S. Securities and Exchange Commission is facing a court challenge to its effort to regulate equity indexed annuities as securities.
January 13, 2009
Lawmakers Ask Regulators To Watch Executive CompTwo senior members of the House Financial Services Committee Monday asked the Treasury Department and the Federal Reserve System to ramp up efforts to oversee ...
January 13, 2009
Lawmakers Ask Regulators To Watch Executive CompTwo senior members of the House Financial Services Committee Monday asked the Treasury Department and the Federal Reserve System to ramp up efforts to oversee ...
January 12, 2009
SEC staffers further explain 151A rulingThere's no getting around it. SEC 151A, which will securitize indexed annuities, will be a topic we'll talk about for the foreseeable future as news continues to trickle out about it. We know this much already: the U.S. Securities and
January 12, 2009
IRS Sets Distribution Relief ProceduresThe Internal Revenue Service has issued guidance aimed at financial institutions that will be helping retirees put off taking cash from individual account retirement plans.The ...
January 11, 2009
SEC staffers further explain 151A rulingThere's no getting around it. SEC 151A, which will securitize indexed annuities, will be a topic we'll talk about for the foreseeable future as news continues to trickle out about it. We know this much already: the U.S. Securities and