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.
Ain't That a Kick in the Head
By John SullivanSimple truth: The more control government gets, the less effective it becomes. I'm embarrassed that I have to make this incredibly obvious point, but with...
July 21, 2010
SEC to Give 12b-1 Fees a Structural RevampThe Securities and Exchange Commission (SEC) said Wednesday, July 21, it planned to do away with 12b-1 fees as they are currently structured.
July 21, 2010
SEC Pans State Life Settlement Regs; GAO Mentions Federal Charter OptionA U.S. Securities and Exchange Commission (SEC) task force wants to classify life settlements as securities, and the U.S. Government Accountability Office (GAO) says Congress should consider taking action.
July 21, 2010
Obama Signs H.R. 4173When President Obama signed H.R. 4173, the Dodd-Frank Wall Street Reform and Consumer Protection Act bill, into law at 11:49 a.m. today, he created an avalanche of new work for the executive branch.
July 20, 2010
Schapiro Backs Off From Indexed Annuity FightThe U.S. Securities and Exchange Commission will be retreating from the Rule 151A battle but releasing a request for comments on a standard-of-care study "very soon," SEC Chairman Mary Schapiro said today.
July 20, 2010
Schapiro Backs Off From Indexed Annuity FightThe U.S. Securities and Exchange Commission will be retreating from the Rule 151A battle but releasing a request for comments on a standard-of-care study "very soon," SEC Chairman Mary Schapiro said today.
July 20, 2010
In Financial Reform Bill, SEC Facing 'Many Hurdles,' Lawmaker SaysSEC expects to add 800 positions to carry out new duties under Dodd-Frank bill.
July 20, 2010
Obama Signs H.R. 4173When President Obama signed H.R. 4173, the Dodd-Frank Wall Street Reform and Consumer Protection Act bill, into law at 11:49 a.m. today, he created an avalanche of new work for the executive branch.