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.
Fannie and Freddie Ordered to Delist From Major Exchanges
By John SullivanMore bad news for Fannie Mae and Freddie Mac. On Wednesday, June 16, Fannie Mae was ordered to notify the New York Stock Exchange (NYSE) and the Chicago Stock Exchange (CSE) of its intent to delist its common and preferred stock.
June 16, 2010
Barney Frank Calls for Fiduciary Standard and SEC Self-Funding'Essential to protecting investors' says Frank at reconciliation conference for Wall Street reforms bills.
June 16, 2010
SEC Proposes Enhanced Target-Date Fund DisclosuresThe Securities and Exchange Commission (SEC) proposed rules on Wednesday, June 16, seeking to provide investors with enhanced information about target date funds.
June 15, 2010
FINRA to Assume Oversight of NYSE Euronext MarketsThe Financial Industry Regulatory Authority (FINRA) will assume surveillance and enforcement functions for NYSE Euronext's three U.S. equities and options markets in an agreement announced June 14.
June 15, 2010
SPARK Finds Traps In IRS QuestionnaireEmployers that answer a proposed Internal Revenue Service 401(k) compliance questionnaire honestly could get into legal trouble, a SPARK Institute official warns.
June 15, 2010
Indexed Annuity Provision Back In PlaySupporters of state regulation of equity indexed annuities have renewed efforts to get a provision into H.R. 4173 that would bar the U.S. Securities and Exchange Commission from regulating the product.
June 15, 2010
SPARK Finds Traps In IRS QuestionnaireEmployers that answer a proposed Internal Revenue Service 401(k) compliance questionnaire honestly could get into legal trouble, a SPARK Institute official warns.
June 15, 2010
Indexed Annuity Provision Back In PlaySupporters of state regulation of equity indexed annuities have renewed efforts to get a provision into H.R. 4173 that would bar the U.S. Securities and Exchange Commission from regulating the product.