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.
Former Aetna Chairman To Leave SEC
By Allison BellWilliam Donaldson will be retiring from his post as chairman of the U.S. Securities and Exchange Commission June 30.[@@]Donaldson, who turns 74 Thursday, said ...
June 01, 2005
Reg Rigmarole Crippling Fund FirmsMutual fund officials told Congress last month that fund firms are drowning in the deluge of SEC rules they've come under in the last year...
June 01, 2005
Stretched Too Thin?No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
June 01, 2005
Who's in Charge?As the turf war between state and federal regulators rages on, industry officials are debating whether that competition is good for investors. Ron Rhoades, chief...
May 27, 2005
Federal Program LTC Insurer Keeps Underwriting AuthorityThe federal Office of Personnel Management has published a final version of the regulation that governs the Federal Long Term Care Insurance Program.[@@]The program, ...
May 25, 2005
Try, And Try AgainTry, And Try AgainEven if you don't agree with them, you've got to admire the sheer doggedness of those companies and organizations that are ...
May 25, 2005
IT Eecs Lament Tight Budgets, Lack Of Non-IT SupportGo page 10 with Meeting Coverage banner. File #22-CIO-panel-mh. 99 linesConference participants say they're asked to do more with lessOrlandoAn electronic poll conducted during ...
May 25, 2005
New Agent Group Supports Optional Federal OversightA new association says it is speaking for insurance agents who want to give insurers a chance to choose between state regulation and federal ...