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.
The Changing Face of Financial Regulation Reform
By Arthur D. PostalWhile critics of the omnibus financial services reform legislation that the House passed last week complain it imposes "bank-centric" regulation on insurers and agents, analysts say the impact will be manageable and there were no last-minute surprises.
July 02, 2010
SEC Cracks Down on Pay-to-PlayRule prohibits an advisor from providing advisory services for compensation for two years.
July 01, 2010
SEC Cracks Down on Pay-to-Play PracticesRule prohibits an advisor from providing advisory services for compensation for two years
July 01, 2010
Senate stalls physician pay cutWashington lawmakers have prevented a scheduled 21 percent cut to Medicare physician payments with the passage of the "doc fix" legislation.
July 01, 2010
A Whirlwind of SEC ActivityWhether a fiduciary duty for broker/dealers and all types of financial advisory professionals makes it into the final financial reform legislation (which remains in conference...
July 01, 2010
Annuities compliance: Six rules to stay on the right side of complianceIf the wildly capricious behavior of the financial markets of late weren't enough to make an advisor's head spin, then the ever-shifting and increasingly imposing regulatory landscape certainly will.
June 30, 2010
Annuities compliance: Six rules to stay on the right side of complianceIf the wildly capricious behavior of the financial markets of late weren't enough to make an advisor's head spin, then the ever-shifting and increasingly imposing regulatory landscape certainly will.
June 29, 2010
SEC 151A: Should advisors pop the champagne?Do you hear the sound of the fat lady singing? Maybe you don't because nothing's over until the ink's dry.