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.
House To Get Federal Regulation Bill
By Matt BradyRep. 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. ...
September 03, 2006
Why Advisors Should Have Their Own Disclosure FormsIt is more than perplexing that regulators are spending an inordinate amount of time trying to find fault with fixed indexed annuities.Due to the downside ...
September 03, 2006
Why Advisors Should Have Their Own Disclosure FormsIt is more than perplexing that regulators are spending an inordinate amount of time trying to find fault with fixed indexed annuities.Due to the downside ...
September 01, 2006
Division IContemporary Financial Solutions Year founded: 2003 Producing reps: 96 Est. gross revenue (2006): $1.4 million Avg. annual gross production per rep (2005): $12,000 Ratio of reps to home office: 48 to...
September 01, 2006
Division IIINEXT Financial Group, Inc. Year founded: 1999 Producing reps: 756 Est. gross revenue (2006): $76.5 million Avg. annual gross production per rep (2005): $90,000 Ratio of reps to home office: 10.8...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...
September 01, 2006
An Education SummitThis year, the annual meeting of the Certified Financial Planner Board of Standards was not only a multiday affair in the first week of August...
August 28, 2006
Feds Accept Pru Settlement OfferA broker-dealer partly controlled by Prudential Financial Inc. has agreed to pay $600 million to resolve a market-timing investigation.The U.S. Securities and Exchange Commission says ...