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.
Fines, Awards Slapped on JP Morgan, Fisher Investments, Merrill Clearing
By John Sullivan, Janet LevauxSEC, FINRA and private arbitration panel assess fines ranging from $376,000 to $63 million to $228 million.
July 07, 2011
New Hire Roundup: SEC Advances Plaze and Blizzard; National Advisors Trust Adds ThreeRobert Plaze named deputy director in SEC's division of investment management.
July 06, 2011
ComFrame: IAIS Releases Global Regulation Concept PaperThe 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 06, 2011
IRS Cuts Rating Agencies from Internal Revenue Code RegsThe Internal Revenue Service is starting the formal process of removing direct references to credit rating agencies from the regulations implementing the Internal Revenue Code.
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
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.