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.
Regulatory Certainty. Really?
By Del LangA look at how broker-dealers are gearing up for the implementation of FINRA Rules 2090 and 2111.
July 03, 2012
FINRA Rule 2111: The Broker-Dealer ViewCommonwealths Paul Tolley talks about the challenges of implementing FINRAs new suitability rule on the selling of securities like variable annuities.
July 03, 2012
FINRA Rule 2111: The Broker-Dealer ViewCommonwealths Paul Tolley talks about the challenges of implementing FINRAs new suitability rule on the selling of securities like variable annuities.
July 02, 2012
New FINRA Suitability Rule to Take Effect July 9More client information is required and investment strategy recommendations are covered under the new rule.
July 02, 2012
New FINRA Suitability Rule to Take Effect July 9More client information is required and investment strategy recommendations are covered under the new rule.
July 01, 2012
Fed Action on MetLife Sends Stock SoaringMetLifes stock price soared more than 5 percent on June 19 as a result of a decision by the Federal Reserve Board to give MetLife more time to resubmit a capital plan that failed a stress test in March.
July 01, 2012
Dimon on Volcker RuleJPMorgan Chase Chairman Jamie Dimon acknowledged under intense questioning today that it is possible that the trades that led to a multi-billion dollar loss by the firm would have been banned if the so-called Volcker Rule had been in effect.
June 30, 2012
Fed Action on MetLife Sends Stock SoaringMetLifes stock price soared more than 5 percent on June 19 as a result of a decision by the Federal Reserve Board to give MetLife more time to resubmit a capital plan that failed a stress test in March.