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.
A Catalyst of Change
By Kate McBridePerhaps the catchword for independent broker/dealer business for 2007 is change. As John Simmers becomes chairman of the Financial Services Institute (FSI), unprecedented change is...
January 24, 2007
New York Senator Returns To OFC FraySen. Charles Schumer is back in the optional federal charter game.Schumer, D-N.Y., and New York Mayor Michael Bloomberg, a Republican, made headlines Monday when they ...
January 24, 2007
New York Senator Returns To OFC FraySen. Charles Schumer is back in the optional federal charter game.Schumer, D-N.Y., and New York Mayor Michael Bloomberg, a Republican, made headlines Monday when they ...
January 19, 2007
SIFMA Challenges SECThe Securities Industry and Financial Markets Association (SIFMA), is challenging the SEC to declare a moratorium on decisions allowing exchanges to charge higher fees for market data, "until the SEC is able to address the fundamental legal and policy issues created by for-profit exchanges," according to an announcement January 19...
January 16, 2007
ACLI Supports Securities Regulation CombinationThe directors of the American Council of Life Insurers have voted to support efforts by the National Association of Securities Dealers and the New York ...
January 16, 2007
ACLI Supports Securities Regulation CombinationThe directors of the American Council of Life Insurers have voted to support efforts by the National Association of Securities Dealers and the New York ...
January 12, 2007
New SRO May Become a Reality by Second QuarterThe merger of the regulatory arms of the NYSE and NASD should be completed by the second quarter of this year, Robert Errico, executive VP at NASD told a group of lawyers at ALI-ABA's broker/dealer regulation event in Washington January 11.
January 02, 2007
Feds May Try To CutA voluntary long term care insurance program is having a hard time mailing promotional letters to federal employees, but the insureds appear to be good ...