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.
Roel Campos Forecasts Regulatory Landscape
By Melanie WaddellFormer SEC Commissioner Roel Campos, who is now part of President-elect Barack Obama's economic transition team
December 03, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 02, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 01, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
December 01, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.
December 01, 2008
B/D Briefings News & ProductsAmeriprise Financial, Inc. announced that it has completed its all-cash acquisition of H&R Block Financial Advisors from H&R Block. The more than 950 H&R Block...
December 01, 2008
Group Think? The SEC and the North American Securities Administrators Association (NASAA) announced they will waive the initial setup and annual system fees paid by investment...
November 30, 2008
Readers suggest SEC learn from its mistakesIn 28 years as a life agent, I was forced to go get my Series 6 and 63 because captive companies were afraid to stand up and say "no more." I got tired of the SEC creating jobs just to keep people busy. None of my clients wanted to risk