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.
Yellen confirmed by U.S. Senate to become 15th Fed chairman
By Kathleen HunterJanet Yellen won U.S. Senate confirmation to become the 15th chairman of the Federal Reserve and the first woman to head the central bank in its 100-year history.
January 06, 2014
SEC eyes deferred annuity ridersAlso coming under heightened scrutiny are funds and contract names that suggest safety or protection from loss.
January 06, 2014
SEC eyes deferred annuity ridersAlso coming under heightened scrutiny are funds and contract names that suggest safety or protection from loss.
January 06, 2014
CMS wants to overhaul Medicare broker compThe agency wants to cap commissions, and it might limit referral fees to $100.
January 06, 2014
CMS wants to overhaul Medicare broker compThe agency wants to cap commissions, and it might limit referral fees to $100.
January 03, 2014
Canellos Departs SEC, Leaving Ceresney to Lead EnforcementAs was expected, the co-director of Enforcement will leave agency after 4 1/2 years, leaving Chairwoman Whites longtime lieutenant to lead the division.
January 03, 2014
IRA Rollovers Among Hot Areas for FINRA Scrutiny in 2014FINRA issued a letter Thursday detailing its top exam priorities for brokers this year.
January 02, 2014
FINRA to focus on senior suitability annuity salesFINRA may be issuing a report on firms' practices on product-specific suitability guidelines for senior investors.