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 James J. GreenAmeriprise Financial, Inc. announced that it has completed its all-cash acquisition of H&R Block Financial Advisors from H&R Block. The more than 950 H&R Block...
November 30, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
November 30, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.
November 30, 2008
OFC: Another Part Of The Wreckage?The "team of rivals" metaphor has been overused lately as the news networks try to dumb down to the unwashed multitudes the reason behind the ...
November 30, 2008
OFC: Another Part Of The Wreckage?The "team of rivals" metaphor has been overused lately as the news networks try to dumb down to the unwashed multitudes the reason behind the ...
November 26, 2008
FDIC: Federal Regulation Unlikely In 2009Congressional approval of federal regulation of insurance appears to be unlikely for 2009, and an optional federal charter may never be created, according to the ...
November 26, 2008
FDIC: Federal Regulation Unlikely In 2009Congressional approval of federal regulation of insurance appears to be unlikely for 2009, and an optional federal charter may never be created, according to the ...
November 26, 2008
FDIC: Federal Regulation Unlikely In 2009Congressional approval of federal regulation of insurance appears to be unlikely for 2009, and an optional federal charter may never be created, according to the ...