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.
Exchange Builders: Where Are the Federal Regulations?
By Mark E. RuquetDelays in Washington are hindering the states that do want to implement PPACA, officials say.
August 15, 2012
400 Economists Endorse RomneyA former conservative official has rallied 400 economists, including five Nobel Prize winners, to sign a statement supporting Republican presidential hopeful Mitt Romneys economic policies.
August 14, 2012
The Implications of Federal RegulationWhat will federal regulation of insurance holding companies like AIG look like?
August 14, 2012
The Implications of Federal RegulationWhat will federal regulation of insurance holding companies like AIG look like?
August 14, 2012
AIG Paves the Way for Federal RegulationAs the federal government's share in AIG dwindles, a new era of insurance regulation begins.
August 14, 2012
AIG Paves the Way for Federal RegulationAs the federal government's share in AIG dwindles, a new era of insurance regulation begins.
August 10, 2012
Insurer Thrifts to be Subject to Bank RulesInsurers that operate thrifts would be subject to the same capital standards as banks at the holding company level except for certain unique insurance activities under new capital standards being proposed by federal regulators.
August 10, 2012
NASCAR-Related Index Fund Shut Down After SEC ScrutinyThe SEC's Asset Management Unit charged David Dube and his firm, Peak Wealth Opportunities, on Friday with failing to provide examiners with records of a mutual fund advisory business that invested in NASCAR-related stocks.