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.
SEC Will Do Study On Financial Product Sales
By Staff WriterThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
Services Company Offers To Pay SEC $25 MillionA financial services industry support company may be close to ironing out its differences with the U.S. Securities and Exchange Commission.BISYS Group Inc., Roseland, N.J., ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 03, 2006
SEC Eyes VA, EIA Marketing MaterialsInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...
November 03, 2006
SEC Eyes VA, EIA Marketing MaterialsInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...
November 01, 2006
States resist federal insurance regulationIt all goes back to a Supreme Court ruling (Paul v. Virginia) just after the Civil War that said insurance was not interstate commerce. The ruling said that because the Constitution only provided for federal regulation of interstate commerce,