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's Withdrawal Of 'No-Action' Letter Confuses Industry
By Norse N. BlazzardIn the early days of variable annuities (the late 1970s and early 1980s), nontraditional salespeople began selling products previously thought to be in the exclusive ...
July 14, 2006
Company Settles Preferred Fund Program CaseThe U.S. Securities and Exchange Commission has accepted a sanctions proposal from the broker-dealer arm of a large insurance holding company.The broker-dealer, IFMG Securities Inc., ...
July 14, 2006
Company Settles Preferred Fund Program CaseThe U.S. Securities and Exchange Commission has accepted a sanctions proposal from the broker-dealer arm of a large insurance holding company.The broker-dealer, IFMG Securities Inc., ...
July 13, 2006
Agenda Set for D.C. Seniors SummitNASD fraud study to be unveiled at July 17 gathering
July 12, 2006
Panel To Hold Second Regulation HearingA Bush administration official is preparing to testify July 18 at a second Senate Banking Committee hearing on insurance regulation.The witness list for the hearing ...
July 12, 2006
NAMIC Hopes For SOX ReliefThe National Association of Mutual Insurance Companies is welcoming a move by federal regulators to review the topic of internal controls reporting requirements for smaller ...
July 12, 2006
Panel To Hold Second Regulation HearingA Bush administration official is preparing to testify July 18 at a second Senate Banking Committee hearing on insurance regulation.The witness list for the hearing ...
July 11, 2006
Senate Panel Divided On Insurance RegulationMembers of the Senate Banking Committee clashed today during a long hearing on insurance regulation reform.Sen. Richard Shelby, R-Ala., chairman of the committee, asked Alessandro ...