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.
A season of change awaits
By Andy StonehouseIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
November 30, 2008
OFC: Another Part Of The Wreckage?The "team of rivals" metaphor has been overused lately as the news networks try to dumb down to the unwashed multitudes the reason behind the ...
November 26, 2008
FDIC: Federal Regulation Unlikely In 2009Congressional approval of federal regulation of insurance appears to be unlikely for 2009, and an optional federal charter may never be created, according to the ...
November 26, 2008
FDIC: Federal Regulation Unlikely In 2009Congressional approval of federal regulation of insurance appears to be unlikely for 2009, and an optional federal charter may never be created, according to the ...
November 26, 2008
FDIC: Federal Regulation Unlikely In 2009Congressional approval of federal regulation of insurance appears to be unlikely for 2009, and an optional federal charter may never be created, according to the ...
November 25, 2008
Treasury Invests In AIG - UpdatedAmerican International Group Inc. says it will be using $40 billion in Troubled Assets Relief Program cash to restructure some of its debt.The U.S. Treasury ...
November 21, 2008
SEC Publishes International Standards DraftThe SEC is looking into whether the U.S. companies that file reports with it should be required to use the International Financial Reporting Standards rather ...
November 20, 2008
SEC Okays Summary ProspectusThe Securities and Exchange Commission has put off until December 3 a vote on adopting rules that would curtail conflicts of interest among credit ratings agencies.