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.
Missouri conducts LTC facility disaster preparedness survey
By Allison BellWill your clients have the kinds of providers who could handle Sandy?
October 25, 2012
SEC, FINRA Enforcement Roundup: Cantor Fitzgerald Hit by FINRAAmong recent SEC and FINRA actions were Cantor Fitzgerald being censured and fined and FINRA imposing a $14 million settlement on a Hong Kong-based firm charged with insider trading.
October 25, 2012
SIGTARP: It’s essential AIG have a regulatorThe special inspector general for TARP says a SIFI designation "would provide the strongest regulation available."
October 25, 2012
SIGTARP: It’s essential AIG have a regulatorThe special inspector general for TARP says a SIFI designation "would provide the strongest regulation available."
October 25, 2012
The Election and Advisors: FPA’s Dan Barry Reports, and PredictsLooking at next years advocacy agenda for FPA, much depends on the election and who is placed in key positions. A rundown of the big issues for planners, and what different election scenarios mean for those issues.
October 24, 2012
NAIC takes low-key approach on federal regulationNAIC experts "stand ready" to answer by phone or in person any additional questions federal regulators have.
October 24, 2012
NAIC takes low-key approach on federal regulationNAIC experts "stand ready" to answer by phone or in person any additional questions federal regulators have.
October 23, 2012
SEC’s Schapiro Expects Fiduciary Standard Proposal in 2013"The passage of time has not discouraged me at all," Schapiro said at SIFMA's annual meeting on Wednesday. "The devil is in the details, but Im more confident that we will get it done, not less.