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 To Commissions Survey
By Staff WriterThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 01, 2006
States resist federal insurance regulationIt all goes back to a Supreme Court ruling (Paul v. Virginia) just after the Civil War that said insurance was not interstate commerce. The ruling said that because the Constitution only provided for federal regulation of interstate commerce,
October 31, 2006
States resist federal insurance regulationIt all goes back to a Supreme Court ruling (Paul v. Virginia) just after the Civil War that said insurance was not interstate commerce. The ruling said that because the Constitution only provided for federal regulation of interstate commerce,
October 30, 2006
GAO To Review SECAt the behest of Sen. Charles Grassley (R-Iowa), the Government Accountability Office (GAO) is gearing up to perform a broad review of two of the Securities and Exchange Commission's divisions--the Office of Compliance, Inspection, and Examination (OCIE) and the SEC's enforcement unit.
October 29, 2006
ACLI: OFC Effort Is Making Progress, But Work RemainsThe insurance industry has made significant progress towards the enactment of optional federal charter legislation in 2006, but there is still a long way to ...
October 29, 2006
ACLI: OFC Effort Is Making Progress, But Work RemainsThe insurance industry has made significant progress towards the enactment of optional federal charter legislation in 2006, but there is still a long way to ...
October 23, 2006
Government Spending RevealedOn October 10, OMB Watch and The Center for Responsive Politics launched databases that provide the public with detailed information on federal spending. The three new tools were made possible by grants from the Sunlight Foundation, which supports using "new information technologies to ensure greater transparency and accountability by the...