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 Revises Intermediary Rules
By Matt BradyThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
New SEC Research Tool for Public CompaniesThe Securities and Exchange Commission has decided to replace its antiquated public company disclosure system called EDGAR, which uses a form-based electronic filing cabinet, with a real-time search tool with interactive capabilities.
September 28, 2006
SEC Fines Fund AdministratorA company that sells support services to insurers and other financial services companies has agreed to pay $21.4 million to settle an investigation by the ...
September 28, 2006
House Gets Federal Regulation BillA California lawmaker has introduced the House version of an "optional federal charter" bill that is already in play in the Senate.Rep. Ed Royce, R-Calif., ...
September 28, 2006
House Gets Federal Regulation BillA California lawmaker has introduced the House version of an "optional federal charter" bill that is already in play in the Senate.Rep. Ed Royce, R-Calif., ...
September 13, 2006
Feds Publish Attained Age RegulationInsurers can assign the same life insurance policyholder different ages when determining policy mortality charges and making level-premium or cash value corridor computations.Officials at the ...
September 13, 2006
House To Get Federal Regulation BillRep. Edward Royce, R-Calif., says he will be introducing a House bill that will resemble the Senate's "optional federal charter" bill sometime this fall.Like S. ...