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.
Senators doubt SEC's ability to regulate
By Staff WriterSenate Banking Committee Chairman Christopher Dodd said government regulators need to pay more attention to potential fraud by fund managers, according to MarketWatch. "Seems to me we need to go back and revisit the whole model for examining
January 28, 2009
Insurers Sue To Block SEC RuleThe equity index annuity industry is asking a Washington-based federal appeals court for expedited review of the U.S. Securities and Exchange Commission decision subjecting some EIAs to federal oversight.
January 28, 2009
NAIC's Susan Voss on Rule 151A and SEC's New ChairpersonIowa Insurance Commissioner and NAIC Vice President Susan Voss discusses the recent passage of Rule 151A and what your next steps should be. Plus, find out what may be in store for the industry...
January 27, 2009
Mary Schapiro Is SEC ChairMary Schapiro is now officially the chairwoman of the Securities and Exchange Commission.
January 26, 2009
House Panel To Name Subcommittee MembersThe House Financial Services Committee plans to meet at 10:15 a.m. Tuesday to organize its operations.
January 22, 2009
DOL/IRS Craft Auto Enroll Manual for Small BusinessesThe U.S. Department of Labor (DOL) and the Internal Revenue Service (IRS) have released a new publication to help small employers better understand automatic enrollment for 401(k) plans offered to their employees.
January 21, 2009
NAIC To Plan 151A StrategyThe National Association of Insurance Commissioners government relations leadership council will shape NAIC efforts to respond to the new U.S. Securities Exchange indexed annuity regulations.
January 21, 2009
DALBAR Updates Fiduciary Advisor Audit ProgramDalbar Inc. has revised its audit program for fiduciary advisors to accommodate a new regulation.