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.
H.R. 4173: Senate Conferees Back Indexed Annuity Proposal
By Arthur D. PostalThe lawmakers who are representing the Senate in H.R. 4173 conference committee proceedings moved Tuesday to offer the Senate an amendment that would keep most indexed annuities state-regulated.
June 21, 2010
In Reform Bill, Fiduciary Duty, EIA Regulation Face Vote on June 22As the Senate and House conferees get back to work on Tuesday, June 22, the critical vote on whether to apply a fiduciary standard to brokers is expected.
June 21, 2010
Agencies Set Rules To Exempt Plans From PPACARules unveiled last week that will govern the grandfathering of existing plans under health care reform legislation did not generate the outrage that opponents of reform hope create.
June 20, 2010
Agencies Set Rules To Exempt Plans From PPACARules unveiled last week that will govern the grandfathering of existing plans under health care reform legislation did not generate the outrage that opponents of reform hope create.
June 18, 2010
SEC: Take Care When Saying Who Should Own a ProductThe U.S. Securities and Exchange Commission wants investment companies to think harder when suggesting whether a particular product is appropriate for a particular type of customer.
June 17, 2010
Fannie and Freddie Ordered to Delist From Major ExchangesMore bad news for Fannie Mae and Freddie Mac. On Wednesday, June 16, Fannie Mae was ordered to notify the New York Stock Exchange (NYSE) and the Chicago Stock Exchange (CSE) of its intent to delist its common and preferred stock.
June 17, 2010
For Reform Bill, Senate Conferees Delay Response on FiduciaryHouse conferees are still waiting to hear on Thursday, June 17, from their Senate counterparts on whether they will accept the House language calling for a fiduciary standard for brokers.
June 17, 2010
SEC: Take Care When Saying Who Should Own a ProductThe U.S. Securities and Exchange Commission wants investment companies to think harder when suggesting whether a particular product is appropriate for a particular type of customer.