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.
SEC’s Schapiro: Money-Market Funds’ Stable NAV Is a ‘Fiction’
By Melanie WaddellSEC Chairwoman Mary Schapiro reiterated to senators Thursday that further reforms to money-market funds are necessary, saying the funds still pose a significant risk to the nations economy.
June 19, 2012
SEC’s Rominger to Retire in JulyThe director of Investment Management spoke about the importance of full disclosures in variable annuities in November.
June 19, 2012
SEC’s Rominger to Retire in JulyThe director of Investment Management spoke about the importance of full disclosures in variable annuities in November.
June 19, 2012
Fed Action on MetLife Sends Stock SoaringMetLifes stock price soared more than 5% today 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.
June 19, 2012
SEC’s Plaze Defends Need for Money-Market Fund ReformsMoney-market fund reform is one of the areas of unfinished businesses leftover from the 2008 financial crisis, Robert PLaze told mutual fund directors at their annual policy conference.
June 19, 2012
DOL’s Borzi: Industry Backlash on Fee Rules Is UnfoundedPhyllis Borzi, Assistant Secretary of Labor at the EBSA, laid out on Monday EBSAs regulatory agenda for the rest of the year and clarified one area thats caused a backlash from retirement planning officials.
June 18, 2012
IAIS Seminar in the Cayman IslandsThe Cayman Islands Monetary Authority (CIMA) is hosting senior members from the International Association of Insurance Supervisors (IAIS) as well as industry participants, June 18-21, for the IAIS Global Seminar and Committee Meetings.
June 15, 2012
IRS Rules on Key Point on 401(k) VestingThe agency weighs in on how breaks in service affect a participants vesting in a 401(k) plan.