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.
More Regulation Post-Madoff?
By Jeff JosephThe only thing they are certain of is that his alleged Ponzi scheme--estimated at $50 billion--will prompt fresh calls for regulators to beef up enforcement...
December 22, 2008
SEC slow to catch up on fraud?"As financial markets have grown increasingly complicated -- which was the case with this part of Madoff's operation -- the SEC has struggled to keep...
December 22, 2008
AALU: SEC Rule 151A Could Affect Some Life ProductsThe new Securities and Exchange Commission rule subjecting equity indexed annuities to federal oversight appears to apply only to annuities, but it also could affect indexed life products, says the Association for Advanced Life Underwriting.
December 21, 2008
AALU: SEC Rule 151A Could Affect Some Life ProductsThe new Securities and Exchange Commission rule subjecting equity indexed annuities to federal oversight appears to apply only to annuities, but it also could affect indexed life products, says the Association for Advanced Life Underwriting.
December 18, 2008
SEC Counsel Confident About Annuity MoveBrian Cartwright, the general counsel of the U.S. Securities and Exchange Commission, says he is "very confident" about the strength of the SEC's position on its ability to regulate indexed annuities.
December 18, 2008
Mary Schapiro to Head SECThe Securities and Exchange Commission (SEC) is getting its first woman chair.
December 17, 2008
151A Update: SEC posts transcript, video of today's hearingDec. 17, 2008 - U.S. Securities and Exchange Commission members today offered their overwhelming support to controversial Rule 151A, a move which will significantly change the way that many of those in the financial services industry make
December 17, 2008
403(b) compliance extension eases headaches for plan sponsorsAs the IRS has extended the 403(b) plan document compliance deadline, this gives plan sponsors an opportunity to rethink how their retirement plans are structured,...