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.
Rescue package means more oversight in 2009
By Staff WriterComplex derivatives and hedge funds could face federal supervision for the first time, and heavily regulated sectors, such as banking and insurance, are likely to...
October 05, 2008
Be Warned: Federal Regulation Is ComingFair warning. Despite the spirited and well-organized defense of state insurance regulation conducted in recent weeks by officials of the National Association of Insurance Commissioners ...
October 05, 2008
Be Warned: Federal Regulation Is ComingFair warning. Despite the spirited and well-organized defense of state insurance regulation conducted in recent weeks by officials of the National Association of Insurance Commissioners ...
October 01, 2008
FINRA -- A new rule every three daysSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
October 01, 2008
Weathering the stormThis year's Senior Market Advisor Expo in Orlando will go down in the record books as the show that survived a major weather event but still managed to go on strong -- a story of survival and endurance that echoed the sentiments of the
October 01, 2008
IRS Publishes Mortality TablesThe Internal Revenue Service has updated the static mortality tables for the years 2009 through 2013.Pension plan sponsors and administrators can use the tables to ...
October 01, 2008
The Real DealIt would be hard to overemphasize the impact that technology has had on the success of independent financial planning. Those old HP-12Cs empowered the first...
September 30, 2008
FINRA -- A new rule every three daysSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if