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.
Rater: Indexed Annuity Ruling Will Stick
By staff WriterThe U.S. Securities and Exchange Commission (SEC) is unlikely to return to the indexed annuity issue within the next 18 months.
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.
July 22, 2010
Ain't That a Kick in the HeadSimple 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 22, 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
SEC Approves Changes to Form ADV Part 2The Securities and Exchange Commission (SEC) voted Wednesday, July 21, to adopt long-awaited changes to the Form ADV Part 2 used by advisors.