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.
Annuity update: If FIAs are not securities, what about FINRA 05-50?
By Jack MarrionOn July 15, I sent a letter to FINRA CEO Richard Ketchum and asked, "Since 151A has been vacated and Congress says index annuities are exempt, when will FINRA
August 31, 2010
FINRA Alert: High-Yield Investment Programs Tied to Ponzi SchemesAttracted by promises of high returns? Think Madoff.
August 31, 2010
Industry Lobbying of SEC on Fiduciary Standard to ContinueUnclear whether SEC will seek input on study of FINRA as SRO for advisors.
August 31, 2010
SEC's Broker-RIA Fiduciary Call for CommentsIn transparent process, industry misinformation shows up. Let us clear it up.
August 31, 2010
'The Fiduciary Reference' Delivered to SEC Call for Comments'Must-read' papers include diverse views about fiduciary duty as applied to advice to investors.
August 30, 2010
Groups Tell SEC to Take Hard Look at Fiduciary NormSix financial services trade groups are urging the Securities and Exchange Commission (SEC) to study the fiduciary standard issue in "a comprehensive manner."
August 30, 2010
As SEC Fiduciary Comment Deadline Arrives, Groups Polish ResponsesMonday, August 30, marks the last day the Securities and Exchange Commission (SEC) officially accepts comment letters regarding the study the securities regulator is to conduct on putting brokers under a fiduciary standard of care.
August 29, 2010
August 30 Is SEC Comment Deadline on Fiduciary IssueMany comments already have been submitted.