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.
MetLife changing U.S. strategy
By Arthur D. PostalExpect products in the living benefit market that reduce the guaranteed payout promised to annuitants.
February 22, 2013
IRS Takes Out NFL ‘Hit Man’ Bill RomanowskiFormer NFL linebacker Bill Romanowski was on the losing end of a $4.75 million IRS judgment over horse-breeding expenses.
February 22, 2013
Gov't downsizes amid GOP demands for more cutsGovernment spending has been shrinking steadily since the deep recession between 2007 and 2009.
February 22, 2013
Gov't downsizes amid GOP demands for more cutsGovernment spending has been shrinking steadily since the deep recession between 2007 and 2009.
February 22, 2013
Benmosche: AIG comfortable with federal regulationUnder Basel III, AIG will be regulated as a SIFI or as a savings and loan holding company.
February 21, 2013
Schwab Dodges FINRA Action on Arbitration WaiversA FINRA disciplinary panel on Thursday upheld Charles Schwabs decision to include a class-action waiver in its customer arbitration agreements.
February 21, 2013
FINRA Goes for Round Two on Membership Rule ChangesFINRA plans to issue a revised proposal on membership requirements after the self-regulator received pushback from the industry during its first attempt.
February 21, 2013
SEC Enforcement Roundup: Swiss Accounts Frozen Ahead of Berkshire Hathaway Heinz BuyThe SEC also filed charges recently for exploiting an immigration program, and fraud charges related to a purported clean energy company.