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.
Insuritas Lands United Federal CU
By staff WriterUnited Federal Credit Union has picked Insuritas Inc. to support its insurance operations.
March 24, 2010
FINRA Expels Broker/Dealer Charged With Ponzi SchemeEnforcement chief announces plans to leave SRO as well in unrelated development
March 22, 2010
House Hearing Focuses on Insurance CompaniesA House subcommittee was scheduled to hold an "educational" hearing March 18 for its members and the public.
March 18, 2010
FINRA Expels B/D in Dallas; Case of $480-Mn Ponzi SchemeProvident Asset Management made 23 private placements, which were sold to customers through more than 50 retail broker-dealers nationwide, raising over $480 million through about 7,700 individual investments made by thousands of investors.
March 17, 2010
VA Summary Prospectus Looks InevitableIRI pushes for a general summary document that all VA providers can use
March 15, 2010
Editor's Choice for Week of March 15, 2010: Financial Services Reform Bill, the FOMC, and the State of the EconomyWhat's happening this week.
March 15, 2010
Proposed Dodd Bill Would Hike Federal Regulation of InsurersSen. Christopher Dodd has unveiled a financial services bill that would give federal banking regulators the authority to oversee insurance companies, especially if the insurance companies pose a potential threat to the financial system.
March 15, 2010
Dodd Unveils Omnibus Financial Reform Bill; No Fiduciary ObligationLegislation includes SEC study of B/D, advisor regulation; requires hedge funds to register with SEC; raises advisor assets threshold