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.
Small Banks To Report Less Data
By Trevor ThomasA community bank revenue measure is set to disappear.
January 28, 2009
NAIC's Susan Voss on Rule 151A and SEC's New ChairpersonIowa Insurance Commissioner and NAIC Vice President Susan Voss discusses the recent passage of Rule 151A and what your next steps should be. Plus, find out what may be in store for the industry...
January 27, 2009
Mary Schapiro Is SEC ChairMary Schapiro is now officially the chairwoman of the Securities and Exchange Commission.
January 26, 2009
House Panel To Name Subcommittee MembersThe House Financial Services Committee plans to meet at 10:15 a.m. Tuesday to organize its operations.
January 22, 2009
DOL/IRS Craft Auto Enroll Manual for Small BusinessesThe U.S. Department of Labor (DOL) and the Internal Revenue Service (IRS) have released a new publication to help small employers better understand automatic enrollment for 401(k) plans offered to their employees.
January 21, 2009
NAIC To Plan 151A StrategyThe National Association of Insurance Commissioners government relations leadership council will shape NAIC efforts to respond to the new U.S. Securities Exchange indexed annuity regulations.
January 21, 2009
DALBAR Updates Fiduciary Advisor Audit ProgramDalbar Inc. has revised its audit program for fiduciary advisors to accommodate a new regulation.
January 20, 2009
Rob HowardRob Howard has been promoted to vice president of claims compliance for Farmers Insurance Group. He has been with the company since 1987.