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.
Fed Releases TILA Regulation Draft
By Allison BellThe 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 10, 2011
SEC Studies Rating Agency Selector ConceptThe U.S. Securities and Exchange Commission is asking for comments about the idea of having a public utility, a private utility or a self-regulatory organization pick the agencies that rate structured finance products.
May 10, 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 10, 2011
CFA Asks for Proof of Fiduciary Standard CostsThe Consumer Federation of America says opponents of a uniform fiduciary standard have provided no evidence that a uniform standard would increase the cost of investment services.
May 10, 2011
CFA Asks for Proof of Fiduciary Standard CostsThe Consumer Federation of America says opponents of a uniform fiduciary standard have provided no evidence that a uniform standard would increase the cost of investment services.
May 10, 2011
The Cost of Protecting the Public: The SEC, Congress and the Fiduciary StandardResponding to the GOP, the Committee for the Fiduciary Standard gets to the heart of the fiduciary cost analysis debate
May 09, 2011
SEC to Look at Money Market Fund RiskBill Stouten, a Thrivent Financial for Lutherans portfolio manager, will be one of the participants in a U.S. Securities and Exchange Commission discussion on money market funds and systemic risk.
May 09, 2011
SEC to Look at Money Market Fund RiskBill Stouten, a Thrivent Financial for Lutherans portfolio manager, will be one of the participants in a U.S. Securities and Exchange Commission discussion on money market funds and systemic risk.