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.
SEC 151A: Should advisors pop the champagne?
By Daniel WilliamsDo you hear the sound of the fat lady singing? Maybe you don't because nothing's over until the ink's dry.
June 27, 2010
Reaction to Financial Services Reform Bill Is SwiftFSI's Dale Brown, IAA's David Tittsworth weigh in on bill's implications
June 25, 2010
Loophole in financial reform could hurt seniors, mainstream media suggestsAfter a series of behind-the-scenes efforts resulted in what looks like a substantial victory for foes of the SEC 151A proposal, the non-financial industry media media has painted a more sinister view of what actually occurred this week in Washington.
June 24, 2010
Senate Reform Bill Compromise on Fiduciary Is Still Being DebatedSenator Tim Johnson (D-South Dakota) offered House conferees a compromise Tuesday night, June 22, regarding putting brokers under a fiduciary standard of care.
June 24, 2010
SEC To Study Fiduciary StandardInsurance agents would be required, probably within 18 months, to meet a fiduciary standard in selling investment products under a deal worked out in Congress today.
June 24, 2010
SEC Rule 151A Killer: Congress Paves Way For FIAs To Remain State-RegulatedCongress on Thursday took an important step toward clarifying the status of Fixed Indexed Annuities as insurance products rather than securities.
June 24, 2010
SEC To Study Fiduciary StandardInsurance agents would be required, probably within 18 months, to meet a fiduciary standard in selling investment products under a deal worked out in Congress today.
June 24, 2010
At Morningstar Conference, Vanguard's McNabb on Restoring TrustSpeaking at a luncheon session to the 1,300 attendees of the Morningstar Investment Conference on June 24, in Chicago, Vanguard CEO Bill McNabb laid out the three main building blocks for restoring both investor and advisor trust.