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.
SEC Seeks Public Comments, 'Greater Transparency' on New Financial Regulations
By Kate McBrideLess than a full week after President Obama signed sweeping financial regulation into law, the SEC announced Tuesday, July 27, several initiatives to make the study and rulemaking process "open" and "transparent."
July 26, 2010
Rater: Indexed Annuity Ruling Will StickThe U.S. Securities and Exchange Commission (SEC) is unlikely to return to the indexed annuity issue within the next 18 months.
July 26, 2010
Rater: Indexed Annuity Ruling Will StickThe U.S. Securities and Exchange Commission (SEC) is unlikely to return to the indexed annuity issue within the next 18 months.
July 26, 2010
Dodd-Frank: SEC Issues Call for CommentsThe U.S. Securities and Exchange has set up a Dodd-Frank Wall Street Reform and Consumer Protection Act comment submission process.
July 26, 2010
The MinutemenEric Marhoun can still remember the moment when his summer vacation fell apart in 2008.
July 25, 2010
The MinutemenEric Marhoun can still remember the moment when his summer vacation fell apart in 2008.
July 22, 2010
SEC OKs Revised Advisor FormMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday to change the official "brochure" that SEC-registered investment advisors must give to clients and prospects.
July 22, 2010
SEC OKs Revised Advisor FormMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday to change the official "brochure" that SEC-registered investment advisors must give to clients and prospects.