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.
Will the 112th Congress Repeal Dodd-Frank?
By David TittsworthThe Dodd-Frank train is still on the tracks, and may be slowing down, but wholesale repeal is another matter entirely.
May 12, 2011
Phyllis Borzi, EBSA; The Extended 2011 IA 25 ProfileAs head of the Department of Labor's Employee Benefits Security Administration, Phyllis Borzi's influence on the industry is undeniable.
May 12, 2011
The Week in PicturesDodd-Frank hearings, debt ceilings, and Trump's wake-call to the brutality of Presidential politics all add up to the week that was.[][caption id="attachment_660" align="aligncenter" width="300" caption="The ...
May 12, 2011
The Week in PicturesDodd-Frank hearings, debt ceilings, and Trump's wake-call to the brutality of Presidential politics all add up to the week that was.[][caption id="attachment_660" align="aligncenter" width="300" caption="The ...
May 11, 2011
Feds Might Set Tougher Rules for Bigger, Riskier Insurer Swaps OperationsFederal financial services regulators have proposed a rule that could give them the authority to set tougher minimum margin and capital requirements for transactions with large swaps operations, or speculative swaps operations, affiliated with insurers.
May 11, 2011
Fed Releases TILA Regulation DraftThe Federal Reserve System is seeking comments on a proposed regulation that could have some effect on sellers of credit life insurance, credit disability insurance and other credit insurance products.
May 11, 2011
NAIFA president rejects CFA's fiduciary standard claimsNAIFA President Terry K. Headley is calling the Consumer Federation of America's claim that a fiduciary standard of care would better protect consumers "a myth."
May 11, 2011
NAIFA: The Suitability Standard WorksThe idea that a uniform fiduciary standard would provide better protection for consumers is a myth, according to the National Association of Insurance and Financial Advisors.