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.
SEC To Require XBRL Reports
By Allison BellThe U.S. Securities and Exchange Commission has gone ahead with plans to make public companies submit financial data in a standard interactive data format.
February 09, 2009
SEC Charges Investment Manager In Alleged FraudA regulator alleges investment fraud in Illinois.
February 09, 2009
SEC Chairman eases violation policy, boosts enforcementSEC Chairman Mary Schapiro said Friday she will do away with a two-year "penalty pilot" policy requiring Enforcement staff to get commission approval before negotiating...
February 06, 2009
Wachovia Settles SEC's ARS ChargesThe SEC announced a settlement with Wachovia Securities LLC that will provide more than $7 billion in liquidity to customers who invested in ARS before the market collapsed.
February 05, 2009
Dinallo Weighs In On Proposed Fed RegsNew York's Insurance Superintendent thinks the proposed optional Federal charter for insurance would mostly be "a horrendous idea."
February 05, 2009
Dinallo Weighs In On Proposed Fed RegsNew York's Insurance Superintendent thinks the proposed optional Federal charter for insurance would mostly be "a horrendous idea."
February 04, 2009
Indexed Annuity Case AdvancesThe equity indexed annuity industry presses its case to stop SEC regulation of its products as securities.
February 03, 2009
Frank To Draft OFC ProposalRep. Barney Frank, D-Mass., chairman of the House Financial Services Committee, said today that a top panel priority will be working on legislation that would create an optional federal charter, "particularly for life insurers."