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.
Treasury’s Final Longevity Annuity Regulations May Spark Growth
By Robert Bloink, William H. ByrnesIn its new QLAC regulations, the Treasury Department has quietly left open the door for variable and indexed annuities to enter the market.
July 14, 2014
The FBI Ran an Ultimate Fighting Pump-and-Dump ScamBloomberg View blogger Matt Levine on how the FBI took over a shell company and busted five stock promoters.
July 14, 2014
Final longevity annuity regulations clear path for future growthThe Treasury has quietly left open the door for variable and indexed annuities to enter into the QLAC market.
July 11, 2014
Rep. Waters Calls for Hearing on Advisor ExamsThe top Democrat on the House Financial Services Committee wants a hearing on ways to boost advisor exams, including her user fees bill.
July 11, 2014
FBI Sting Busts Group of 5 for Microcap FraudThe SEC and FBI warn that more undercover operations aimed at market manipulation and insider trading could be underway.
July 11, 2014
SEC's Blass to Become ICI's General CounselDavid Blass, chief counsel and associate director of the SEC's Division of Trading and Markets, will become the ICI's general counsel in September.
July 11, 2014
SEC Enforcement: Missouri Firm Slapped for Fiduciary Duty BreachAlso, the SEC charged five traders with short selling and a school district with misleading bond investors.
July 10, 2014
SEC Investor Advisory Committee Mulls ‘Accredited Investor’ CriteriaSEC Chairwoman White also gave an update on the uniform fiduciary standard, target date fund rules and other issues the committee has weighed in on.