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.
How To Make Worksite E-Enrollments More Profitable
By Cindy Frank, Tom SkeneCongratulations! You've sold the case. But if you think all the hard work is done and the upcoming enrollment process will be easy, efficient and profitable--think again.
March 11, 2010
SEC eyes target-date fundsTarget-date funds are the newest product in the Securities and Exchange Commission's crosshairs. Chairman Mary Schapiro recently announced the agency will begin examining the...
March 10, 2010
SEC's Chief Economist to Leave CommissionReport says Overdahl was criticized by GOP commissioners
March 07, 2010
Will Dodd's Legacy be Anti-Investor, Pro Broker and Insurer?A report notes that "Senate Banking committee members have received $41.9 million in campaign contributions from PACs and individuals in the financial sector since 2005."
March 04, 2010
Insurer, SEC Reach Settlement Over Proxy DisclosureAmerican Equity Investment Life Holding Company, Des Moines, Iowa, and two of its officers have reached civil settlements with the Securities and Exchange Commission, Washington.
March 02, 2010
SEC, IRS Team Up to Police Municipal BondsAgencies say $2.8 trillion muni bond market continues to grow in complexity and size.
March 01, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
March 01, 2010
Advisor Issues at Fore of SEC AgendaCustody rule takes affect March 12; SEC working on final pay-to-play rule.