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.
Barney Frank Calls for Fiduciary Standard and SEC Self-Funding
By Kate McBride'Essential to protecting investors' says Frank at reconciliation conference for Wall Street reforms bills.
June 15, 2010
SPARK Finds Traps In IRS QuestionnaireEmployers that answer a proposed Internal Revenue Service 401(k) compliance questionnaire honestly could get into legal trouble, a SPARK Institute official warns.
June 15, 2010
Indexed Annuity Provision Back In PlaySupporters of state regulation of equity indexed annuities have renewed efforts to get a provision into H.R. 4173 that would bar the U.S. Securities and Exchange Commission from regulating the product.
June 15, 2010
SPARK Finds Traps In IRS QuestionnaireEmployers that answer a proposed Internal Revenue Service 401(k) compliance questionnaire honestly could get into legal trouble, a SPARK Institute official warns.
June 15, 2010
Indexed Annuity Provision Back In PlaySupporters of state regulation of equity indexed annuities have renewed efforts to get a provision into H.R. 4173 that would bar the U.S. Securities and Exchange Commission from regulating the product.
June 14, 2010
SEC Charges Phony Western Gold Sales Team in $300 Million Ponzi CaseThe SEC charged Friday, June 11, that a group of swindlers persuaded more than 3,000 U.S. and Canadian investors to put their savings and home equity into a $300 million Ponzi scheme for a phony gold-mining operation.
June 14, 2010
Task Force Plans For Review Of RBC SystemA panel at the National Association of Insurance Commissioners wants a sister panel to help it review the methods used to calculate risk-based capital ratios and set RBC requirements.
June 11, 2010
Goldman, Stiglitz and the Future of Investing: Viewpoint BlogIt is a very interesting time to be an observer of the political process in America. As someone who has participated in, observed and reported on...