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 Inspectors Unit Under Fire
By Melanie WaddellAfter repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office...
January 22, 2006
Industry Assessing NAIC Call To Expand Annuity Sales RegulationLife insurers still are assessing a call for state insurance regulators to extend to all age groups provisions of an annuity sales model regulation that ...
January 15, 2006
NASD Official Calls For Annuity Regulation SummitNational Association of Securities Dealers Chairman Robert Glauber says the self-regulatory organization wants to change the way annuities are regulated.Glauber told attendees at an enforcement ...
January 15, 2006
NASD Official Calls For Annuity Regulation SummitNational Association of Securities Dealers Chairman Robert Glauber says the self-regulatory organization wants to change the way annuities are regulated.Glauber told attendees at an enforcement ...
January 09, 2006
Official Calls For Annuity Regulation SummitSellers of fixed annuities and equity-indexed annuities should meet the same standards that sellers of variable annuities must meet.National Association of Securities Dealers Chairman Robert ...
January 09, 2006
Official Calls For Annuity Regulation SummitSellers of fixed annuities and equity-indexed annuities should meet the same standards that sellers of variable annuities must meet.National Association of Securities Dealers Chairman Robert ...
January 04, 2006
Feds Act Against Former Marsh Unit ExecutivesThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...
January 04, 2006
Feds Act Against Former Marsh Unit ExecutivesThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...