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.
ComFrame: IAIS Releases Global Regulation Concept Paper
By Allison BellThe International Association of Insurance Supervisors is asking for comments on a paper that could shape regulators' efforts to oversee multinational insurers for decades to come.
July 05, 2011
IRS Changes Annuity Partial Exchange RulesThe Internal Revenue Service has changed the rules governing partial exchanges of annuity contracts.
July 05, 2011
Mary Schapiro: Toughest Job in the Nation?—Top Women Extended ProfileLove what you do, SEC Chairman tells AdvisorOne, and you can be successful.
July 05, 2011
Sheila Bair: Unexpected Bank Watchdog—Top Women Extended ProfileWhile departing in July, Bair's five years of FDIC chairmanship have seen some of the best and worst of times.
July 05, 2011
SIPC to Announce Stanford Liquidation Decision in SeptemberSIPC sets date for decision on liquidation of company run by Allen Stanford, modern-day successor to Charles Ponzi, under SIPA.
July 05, 2011
MSRB Warns Municipal Advisors to Register With Itself or SECA stern warning to firms engaging in municipal advisory activities without registering, a violation of the Exchange Act and rules of both agencies.
July 01, 2011
Are You Prepared for a Regulatory Exam?Is your firm adequately prepared for a regulatory exam? The scope of the regulatory examination process continues to become increasingly complex. However,…
July 01, 2011
DOL's Rule 408(b)(2) Saga Continues: Further Compliance Extension LikelyBecause a final 408(b)(2) rule has yet to be issued by EBSA, retirement plan sponsors will likely need another extension beyond the current Jan. 1, 2012, date.