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.
EBSA, IRS Seek Lifetime Income Ideas
By Allison BellFederal agencies are asking for advice about using annuities and other lifetime income arrangements in retirement plans - and in qualified default investment alternatives.
February 01, 2010
GroupThink? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...
February 01, 2010
Expert's Corner: Small, Yes, But CompliantPublicly embarrassed by a series of undetected frauds by investment firms, the Securities and Exchange Commission has sharpened its investigative and regulatory inspections. RIA firms...
February 01, 2010
The Fed and Its EnemiesThe Federal Reserve is under siege. Proposals abound to curtail the institution's power, through stepped-up congressional involvement or the transfer of some of its responsibilities...
January 31, 2010
Get Ready For Stronger Federal OversightBe prepared. The tsunami set off by the election of a Republican senator from Massachusetts is likely to generate far stronger federal oversight of the insurance industry than would have otherwise been the case.
January 28, 2010
Connecticut Drafts Professional Designation RegulationThe Connecticut Insurance Department is proposing new regulations governing use of "senior-specific certifications and professional designations" in the sale of life insurance and annuities.
January 28, 2010
SEC Issues Guidance on Climate Change DisclosureCommission takes no position on climate change only risk factors companies must reveal
January 27, 2010
Connecticut Drafts Professional Designation RegulationThe Connecticut Insurance Department is proposing new regulations governing use of "senior-specific certifications and professional designations" in the sale of life insurance and annuities.