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.
AIG Stock Sale Could Trigger Federal Regulation
By Arthur D. PostalAmerican International Group is on the verge of becoming the first insurance holding company ever regulated by the federal government.
September 10, 2012
AIG on the Verge of Federal RegulationAmerican International Group is on the verge of becoming the first insurance holding company ever regulated by the federal government.
September 07, 2012
Tax Tips for the Casual Gambler From the IRSFor one thing, your winnings are fully taxable, but so are your losses...and keep good records!
September 07, 2012
DOL Safe Harbor Clarification for Lifetime Guarantees Sought by NAIC, Life InsurersPrudential and other life insurers are joining the NAIC in requesting that annuity products, especially those that provide guaranteed lifetime income, are given safe harbor under ERISA's fiduciary rules.
September 07, 2012
DOL Safe Harbor Clarification for Lifetime Guarantees Sought by NAIC, Life InsurersPrudential and other life insurers are joining the NAIC in requesting that annuity products, especially those that provide guaranteed lifetime income, are given safe harbor under ERISA's fiduciary rules.
September 07, 2012
Nearly Half of U.S. AUM in Hands of ‘Red-Flagged’ Advisors: ReportAn increasingly litigious society makes it harder for investment advisors to maintain a spotless record.
September 06, 2012
Is SEC Really Too Cozy With Wall Street?Revelations of the close ties between a former SEC commissioner and key SEC policymakers are reviving questions about a so-called revolving door in which the lure of future high-paying jobs may improperly influence government decisions.
September 06, 2012
SEC Enforcement Roundup: Radio Financial Guru ChargedRecent SEC enforcement actions include charges against a California man who tipped off a hedge fund manager with inside information and a radio personality who misled investors about an investing plan.