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.
B/D Briefings News & Products
By Kara P. StapletonOn December 1, 2008, Securian Financial Group's acquisition of Capital Financial Group, Inc. and its broker/dealer affiliate, H. Beck, Inc., closed. The acquisition, announced in...
January 01, 2009
More Regulation Post-Madoff?The only thing they are certain of is that his alleged Ponzi scheme--estimated at $50 billion--will prompt fresh calls for regulators to beef up enforcement...
January 01, 2009
What to Do Now?When you're in the middle of a crisis, by definition it's difficult to plan ahead to avoid the next crisis, but that's exactly what the...
December 25, 2008
SEC to investigate ... SECThe U.S. Securities and Exchange Commission is in an unenviable position of late. Between dropping the ball on the Bernie Madoff scheme, and failing to pick up on the danger Wall Street's biggest banks were in, the Commission is struggling to
December 22, 2008
SEC slow to catch up on fraud?"As financial markets have grown increasingly complicated -- which was the case with this part of Madoff's operation -- the SEC has struggled to keep...
December 22, 2008
AALU: SEC Rule 151A Could Affect Some Life ProductsThe new Securities and Exchange Commission rule subjecting equity indexed annuities to federal oversight appears to apply only to annuities, but it also could affect indexed life products, says the Association for Advanced Life Underwriting.
December 21, 2008
AALU: SEC Rule 151A Could Affect Some Life ProductsThe new Securities and Exchange Commission rule subjecting equity indexed annuities to federal oversight appears to apply only to annuities, but it also could affect indexed life products, says the Association for Advanced Life Underwriting.
December 18, 2008
SEC Counsel Confident About Annuity MoveBrian Cartwright, the general counsel of the U.S. Securities and Exchange Commission, says he is "very confident" about the strength of the SEC's position on its ability to regulate indexed annuities.