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.
Insurance regulation: A big ship now in motion
By Elizabeth D. Festa, Arthur D. PostalWill other insurers join AIG and Prudential as SIFIs?
September 30, 2013
The Women Leading the Fiduciary ChargePhyllis Borzi and Mary Jo White are two tough ladies with two tough jobs.
September 30, 2013
Texas department eyes navigator standardsFederal officials suddenly see intermediary training requirements as an obstacle.
September 27, 2013
Senate approves measure to keep federal government operatingBut were still headed toward a government shutdown.
September 27, 2013
Rep Wins $4M From Wedbush in FINRA ArbMichael Farah, now an RIA, first brought the case against Wedbush in 2005, saying it had made misrepresentations on CMOs he'd sold.
September 26, 2013
SEC Enforcement: Advisor Should’ve Just Said No; Filmmaker’s Funding Efforts FlopAn end-times video game company and former Qualcomm executive are among others in the SEC's sights this week.
September 26, 2013
Return-to-work programs to save billions [infographic]According to Charles River Associates, these programs will save the government $25 billion over the next decade.
September 24, 2013
Federal Agencies, Servicemembers Brace for Possible ShutdownA First Command poll finds a majority of military members, who could face late paychecks, doubt lawmakers can avert a government shutdown.