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.
Regulator Warns Consumers On Reverse Mortgages
By Trevor ThomasAlthough a reverse mortgage can be helpful to homeowners having trouble paying their bills, it also can jeopardize the homeowners' financial future, warns the Financial ...
March 07, 2008
Ending a Three-Year Settlement SagaFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
March 06, 2008
State Farm Ends Ties To 3 After FINRA ActionState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...
March 06, 2008
State Farm Ends Ties To 3 After FINRA ActionState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...
March 06, 2008
Federal Charter Debated In Washington ForumMomentum for an optional federal charter for insurers is building on Capital Hill and in the White House, according to one of the bill's House ...
March 06, 2008
Federal Charter Debated In Washington ForumMomentum for an optional federal charter for insurers is building on Capital Hill and in the White House, according to one of the bill's House ...
March 04, 2008
Conseco Delays Annual Report; To Restate LTC ReservesConseco Inc. is delaying the due date of its annual financial report to March 17.In a filing with the Securities and Exchange Commission, Conseco, Carmel, ...
March 01, 2008
The Empire Strikes BackWell you didn't think they'd take it lying down, did you? I'm referring, of course, to the Wall Street wirehouses, and the drubbing they took...