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.
PBGC Drafts Bankruptcy Date Regs
By Staff WriterThe Pension Benefit Guaranty Corp. wants to treat the date when a pension plan sponsor files for bankruptcy as the plan termination date for some ...
July 01, 2008
FINRA Teams With IFEBPThe Financial Industry Regulatory Authority is working with the International Foundation of Employee Benefit Plans to help protect companies and older workers from early retirement ...
July 01, 2008
Group ThinkThe CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must...
July 01, 2008
If It Ain't Broke...Sandy Praeger, president of the National Association of Insurance Commissioners (NAIC) and Kansas insurance commissioner, is critical of Treasury's plans for overhaul of the insurance...
July 01, 2008
SEC Chairmen of Yore SpeakHow can you fail to listen when six former SEC chairmen gather to talk about today's regulatory environment? During a roundtable discussion at SEC headquarters...
July 01, 2008
NEWS & PRODUCTS, JULY 2007Marcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...
July 01, 2008
Fight the PowerEver wonder whether you could take on the Financial Industry Regulatory Authority (FINRA) and actually come out better than if you had settled? The answer,...
June 30, 2008
Riding the SEC rollercoasterIt's been nearly a week since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have a question to ask: Are you strapped in tight for the SEC rollercoaster? Who knows how this will play