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 Epands Defendant List In Viatical Case
By Allison BellThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 14, 2005
Has The Spate Of Regulations Killed The Golden Goose?Fashioning executive benefits in the post-Enron ageWhen it comes to the recent scrutiny of executive benefits, all roads lead to Enron.Following the company's collapse ...
June 10, 2005
Regulators Talk About Annuity Suitability RulesSome regulators are asking whether they should be talking about minimum annuity nonforfeiture interest rates at a time when some older consumers are buying ...
June 10, 2005
Goldstein Addresses 'Sharply Narrowed' Legal Issue in SEC ChallengeLaying great stress, in the manner of Sherlock Holmes, on the issue of silence--as in that of a certain dog in the night--the petitioners in a lawsuit seeking to have the Securities and Exchange Commission's hedge fund registration rule vacated have filed a reply to the SEC's brief defending the...
June 08, 2005
Love Among the Ruins: B/D Reps Add to the ConversationArticle on "How to Ruin a Good Broker/Deal" prompts reader responses
June 02, 2005
Feds: Pick Pension Consultants CarefullyEmployers and other pension plan fiduciaries should ask tough questions when selecting pension consultants.[@@]The U.S. Department of Labor and the U.S. Securities and Exchange ...
June 02, 2005
Bush Chooses Co To Lead SECPresident Bush has nominated Rep. Christopher Cox to succeed William Donaldson as chairman of the U.S. Securities and Exchange Commission.[@@]The Newport Beach, Calif., Republican ...
June 01, 2005
IT Eecs Lament Tight Budgets, Lack Of Non-IT SupportOrlandoAn electronic poll conducted during the ACORD LOMA Insurance Systems Forum held here last month revealed that insurers' information technology executives are facing numerous ...