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.
The Implications of Federal Regulation
By Elizabeth D. FestaWhat 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 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.
August 09, 2012
Clients on the Move? Tax Tip Reminders From the IRSIf your clients (or you) are making a move this summer, especially to change jobs, some reminders on deductible expenses.
August 09, 2012
FINRA Launches Conflict-of-Interest Sweep of BDsFINRA says the sweep is just a way to better understand BDs' practices, but lawyers with BD clients suggest enforcement actions may be brewing.
August 08, 2012
Nursing Home Group to Target Congressional CandidatesThe Alliance for Quality Nursing Home Care has armed itself with state-by-state data.
August 08, 2012
Going for Gold: Rep. Bachus Wins the Prize for Fuzzy Thinking on RIA SROCongressman Bachus WSJ piece on the benefits of an SRO for advisors sets what might be a world record for faulty assumptions, wrong conclusions and inaccuracies.