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.
FINRA Issues Communications Notice
By Staff WriterThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 19, 2008
Don't play games with your CEContinuing education requirements are a fact of life for most financial professionals. The vast majority dutifully complete their courses, take their exams, and do a better job for their clients as a result. However, a few opt to game the system by
May 18, 2008
Federal Regulation Is "Inevitable" In Long Term, Fich ForecastsFederal regulation of the U.S. insurance industry probably is coming, but it may not bring quick benefits to insurers or to consumers.Analysts in the Chicago ...
May 18, 2008
Federal Regulation Is "Inevitable" In Long Term, Fich ForecastsFederal regulation of the U.S. insurance industry probably is coming, but it may not bring quick benefits to insurers or to consumers.Analysts in the Chicago ...
May 15, 2008
Fitch: Federal Regulation InevitableFederal regulation of the U.S. insurance industry probably is coming, but it may not bring quick benefits to insurers or to consumers.Analysts in the Chicago ...
May 13, 2008
IRS Announces 2009 HSA AmountsThe Internal Revenue Service has announced the 2009 "indexed amounts" for health savings accounts.The 2009 maximum contribution limit for individual HSAs has increased to $3,000, ...
May 13, 2008
IRS Announces 2009 HSA AmountsThe Internal Revenue Service has announced the 2009 "indexed amounts" for health savings accounts.The 2009 maximum contribution limit for individual HSAs has increased to $3,000, ...
May 05, 2008
Another SEC Commissioner to Leave OfficeSEC Commissioner Paul Atkins announced May 5 that will leave the Commission; he was originally appointed by President George W. Bush in August 2002.