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.
Commissioners Mull Fed Insurance Office And SEC Index Annuity Proposals
By Jim ConnollyWhen state insurance commissioners met in Chicago recently for their mid-summer gathering, prominent among the topics they discussed were the Office of Insurance Information proposal ...
August 28, 2008
An Insider's View: Christopher K. AbtsFor this issue of Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Christopher K. Abts of Cornerstone Retirement Group in Reno, Nev., to get his thoughts on compliance, suitability and senior protection
August 28, 2008
Getting the goods on Rule 151AThree of the foremost experts on the still-evolving SEC Rule 151A -- the proposal which could serve to turn fixed indexed annuities into a registered security -- were on hand Aug. 22 at Senior Market Advisor Expo in Orlando for what turned
August 28, 2008
An Insider's View: Christopher K. AbtsFor this issue of Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Christopher K. Abts of Cornerstone Retirement Group in Reno, Nev., to get his thoughts on compliance, suitability and senior protection
August 28, 2008
Labor Dept. Settles With Pa. Builders GroupThe U.S. Department of Labor has reached a settlement with a Pennsylvania trade group providing for $5 million in restitution for alleged breaches of fiduciary ...
August 27, 2008
Getting the goods on Rule 151AThree of the foremost experts on the still-evolving SEC Rule 151A -- the proposal which could serve to turn fixed indexed annuities into a registered security -- were on hand Aug. 22 at Senior Market Advisor Expo in Orlando for what turned
August 26, 2008
Major 'shake-up' to financial regulations expected for next year"Major" changes to U.S. financial regulations are expected to gain pace by early next year as an expected Democratic-led Congress and administration try to safeguard...
August 25, 2008
Compliance Staff To Get Boost: CerulliMore than 40% of asset managers plan to increase their marketing compliance staff, Cerulli Associates Inc. reports.Compliance positions are becoming increasingly high-profile as the marketplace ...