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.
Weathering the storm
By Andy StonehouseThis 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
September 28, 2008
AIG Shows Feds Should Regulate Insurance, Paulson SaysTreasury Secretary Henry Paulson was highly critical of American International Group's oversight, calling for federal regulation of insurance companies during an appearance on "Meet the ...
September 28, 2008
The Challenge Of Self-Supervising ComplianceMost producers value the independence of being their own boss and many try to become as independent as possible of the companies whose products they ...
September 28, 2008
The Challenge Of Self-Supervising ComplianceMost producers value the independence of being their own boss and many try to become as independent as possible of the companies whose products they ...
September 26, 2008
TD Ameritrade Offers $50 Million in Client SupportIn the wake of the announcement that the value of the original money market mutual fund, The Primary Fund, had dropped below $1 per share, primarily due to debt written off in the face of the Lehman Brothers collapse, TD Ameritrade has pledged up to $50 million to mitigate client...
September 23, 2008
Paulson Plan Hits TurbulenceCongressional leaders are raising questions about efforts by the Bush administration to hurry a $700 billion rescue plan bill through Congress.Treasury Secretary Henry Paulson and ...
September 23, 2008
Congress Wary of Treasury Bailout PlanMembers of Congress pressed Treasury Secretary Henry Paulson and Federal Reserve Chairman Ben Bernanke to explain why lawmakers should move quickly--as early as Friday, September...
September 23, 2008
EBSA Posts Compliance ToolThe federal Employee Benefits Security Administration has created a Web-based service that can help employers and plan administrators pay civil penalties for delinquent annual report ...