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.
Paulson Shows Interest In Federal Regulation Of Insurers
By Matt BradyTreasury Secretary Henry Paulson said Wednesday that the Bush administration will think very carefully about the possibility of letting insurers choose between state and federal ...
February 01, 2007
SEC Prepares To Publish Rating Agency Regulation DraftThe U.S. Securities and Exchange Commission is plowing ahead with efforts to supervise credit rating agencies.Members of the SEC have voted to move ahead with ...
February 01, 2007
News & ProductsThe Tax Relief and Health Care Act (H.R. 6111), which passed the House and Senate in early December, is being hailed as a bill that...
February 01, 2007
A Catalyst of ChangePerhaps the catchword for independent broker/dealer business for 2007 is change. As John Simmers becomes chairman of the Financial Services Institute (FSI), unprecedented change is...
February 01, 2007
It's That Time AgainWith filing season upon us, the Tax Talk Today Webcast series has dedicated its recent programs to those issues near and dear to the heart...
January 24, 2007
New York Senator Returns To OFC FraySen. Charles Schumer is back in the optional federal charter game.Schumer, D-N.Y., and New York Mayor Michael Bloomberg, a Republican, made headlines Monday when they ...
January 24, 2007
New York Senator Returns To OFC FraySen. Charles Schumer is back in the optional federal charter game.Schumer, D-N.Y., and New York Mayor Michael Bloomberg, a Republican, made headlines Monday when they ...