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 Seeks Public Comments On FINRA VA Rule Changes
By Staff WriterThe U.S. Securities and Exchange Commission is calling for reactions to variable annuity sales rule changes proposed by the Financial Industry Regulatory Authority.FINRA, Washington, filed ...
June 12, 2008
SEC Drafts Credit Rating Agency RulesThe U.S. Securities and Exchange Commission says it will be trying to make the credit rating process easier to understand and monitor.The SEC will be ...
June 12, 2008
SEC Drafts Credit Rating Agency RulesThe U.S. Securities and Exchange Commission says it will be trying to make the credit rating process easier to understand and monitor.The SEC will be ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 06, 2008
Lawmakers Advance Federal Regulation EffortsThe House Financial Services Committee Capital Markets Subcommittee will hold a hearing Tuesday on a bill that could create an insurance information office within the ...