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.
Obama Wins, Dems Increase Senate Majority (Updated)
By Arthur D. PostalThe insurance industry is facing a whole new world in Washington.Sen. John McCain, R-Ariz., the Republican presidential nominee, tonight has conceded the presidential election to ...
November 02, 2008
Battle Rages On The Suitability Of Current Annuity RegulationWhen state insurance commissioners adopted a model regulation to curtail the abusive use of senior designations recently, it highlighted the ongoing efforts regulators are currently ...
November 02, 2008
Battle Rages On The Suitability Of Current Annuity RegulationWhen state insurance commissioners adopted a model regulation to curtail the abusive use of senior designations recently, it highlighted the ongoing efforts regulators are currently ...
November 01, 2008
SEC proposal still has readers fired up(Editor's note: Responses continue to flood our inbox as readers weigh in on our Editor's Blog, "SEC 151A Heats Up." If you'd like to share your own opinion, visit www.SeniorMarketAdvisor.com and submit your
November 01, 2008
The SEC Rethinks DisclosureAt a time when the markets are at their worst, the Securities and Exchange Commission, via its 21st Century Disclosure Initiative, is examining how to...
November 01, 2008
Sticking Up for Senior InvestorsAs the market turmoil rages on, one group of clients--seniors--don't have the luxury of being able to take some hits to their portfolios now with...
October 31, 2008
SEC proposal still has readers fired up(Editor's note: Responses continue to flood our inbox as readers weigh in on our Editor's Blog, "SEC 151A Heats Up." If you'd like to share your own opinion, visit www.SeniorMarketAdvisor.com and submit your
October 31, 2008
IRS Seeks Nominees For Advisory Panel VacanciesThe Internal Revenue Service has 9 openings on a committee that gives it an idea about how members of the public view tax administration issues.The ...