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.
Schapiro's 'light touch' leaves scars
By John SullivanI'd hate to see her heavy touch. The Wall Street Journal reports on Mary Schapiro's time at the NASD and as head of FINRA, attempting...
January 13, 2009
Lawmakers Ask Regulators To Watch Executive CompTwo senior members of the House Financial Services Committee Monday asked the Treasury Department and the Federal Reserve System to ramp up efforts to oversee ...
January 12, 2009
SEC staffers further explain 151A rulingThere's no getting around it. SEC 151A, which will securitize indexed annuities, will be a topic we'll talk about for the foreseeable future as news continues to trickle out about it. We know this much already: the U.S. Securities and
January 12, 2009
IRS Sets Distribution Relief ProceduresThe Internal Revenue Service has issued guidance aimed at financial institutions that will be helping retirees put off taking cash from individual account retirement plans.The ...
January 11, 2009
SEC staffers further explain 151A rulingThere's no getting around it. SEC 151A, which will securitize indexed annuities, will be a topic we'll talk about for the foreseeable future as news continues to trickle out about it. We know this much already: the U.S. Securities and
January 09, 2009
SEC Promises Congress Madoff ReportsDavid Kotz, the Securities and Exchange Commission's Inspector General, told Congress January 5 that his office has been "working at a rapid pace" since December 17 to investigate why the SEC failed to shutter the Bernie Madoff ponzi scheme.
January 09, 2009
SEC Downplays Effect Of Annuity Rule On Agents, SalesStaffers at the U.S. Securities and Exchange Commission say the benefits of putting indexed annuities under SEC jurisdiction would far outweigh the costs to product ...
January 09, 2009
SEC Downplays Effect Of Annuity Rule On Agents, SalesStaffers at the U.S. Securities and Exchange Commission say the benefits of putting indexed annuities under SEC jurisdiction would far outweigh the costs to product ...