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.
Feds Might Set Tougher Rules for Bigger, Riskier Insurer Swaps Operations
By Allison BellFederal 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
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.
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
CFA to Congress: Cost-Benefit Analysis Will Hamstring SEC's Fiduciary Rulemaking ProcessThe CFA tells Congress that a further cost-benefit analysis on fiduciary duty rule will stall SEC's rulemaking process; but SEC's Schapiro told AdvisorOne recently that lawmakers' cost-benefit requests "haven't changed anything" regarding how the SEC already writes rules.
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
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.