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.
Index Annuity Executive: SEC Attention 'No Surprise'
By Staff WriterThe head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 23, 2008
Screwed by the SEC - Your reactionsNever thought the word "naked" would be so loaded. Had quite a bit of reaction to last week's post on short selling. Call it lost...
July 23, 2008
Senate Panel Schedules Regulatory HearingThe Senate Banking Committee plans to hold a long-awaited hearing on insurance regulatory issues Tuesday.Industry lobbyists said they have not seen a witness list and ...
July 23, 2008
Senate Panel Schedules Regulatory HearingThe Senate Banking Committee plans to hold a long-awaited hearing on insurance regulatory issues Tuesday.Industry lobbyists said they have not seen a witness list and ...
July 22, 2008
Labor Completes Plan Disclosure DraftThe U.S. Department of Labor is getting ready to unveil proposed regulations that would affect how retirement plans explain investment options to participants.The department wants ...
July 18, 2008
Mark E. ArningMark E. Arning has been named general auditor of New York Life Insurance Company. He will oversee the corporate Audit Department, which is responsible for ensuring the accuracy of financial reporting and compliance with laws and regulations.
July 16, 2008
Selling us all shortGotta love rule-making by enforcement. If ever there was a tool specifically to look for scapegoats, this is it. A particular action may not be...
July 16, 2008
Getting screwed by the SECGotta love rule-making by enforcement. If ever there was a tool specifically to look for scapegoats, this is it. A particular action may not be...