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.
SEC Proposes Fair Fund
By Warren S. HerschThe Securities and Exchange Commission has come up with a plan for compensating some investors affected by variable annuity market timers.
January 19, 2010
Bernanke Asks GAO To Have A Look AroundFederal Reserve Board Chairman Ben Bernanke today defended the actions the Fed took to bail out American International Group Inc. (NYSE:AIG) and asked the U.S. Government Accountability Office to study the Fed's AIG-related decisions.
January 19, 2010
Bernanke Asks GAO To Have A Look AroundFederal Reserve Board Chairman Ben Bernanke today defended the actions the Fed took to bail out American International Group Inc. (NYSE:AIG) and asked the U.S. Government Accountability Office to study the Fed's AIG-related decisions.
January 15, 2010
SEC Chair Repeats Strong Support for Fiduciary Duty"Broker-Dealers and Investment Advisers Should be Subject to the Same Fiduciary Standard of Conduct and Heightened Regulatory Regime When Providing the Same or Substantially Similar Services," she
January 14, 2010
Insurance Regulation: Predictions for 2010What will the coming year have in store for the insurance industry when it comes to government regulation and legislation? Kansas Insurance Commissioner Sandy Praeger talks health reform, consumer protection, and more.
January 14, 2010
AIG Counterparty Hearing To Be HeldMore than one year after the first federal bailout of AIG, the American people continue to question where their tax dollars were really sent when the government rescued this company.
January 13, 2010
SEC Appoints Heads of Special Units to Crack Down on FraudNew Office of Market Intelligence will investigate tips and complaints
January 13, 2010
AIG Counterparty Hearing To Be HeldMore than one year after the first federal bailout of AIG, the American people continue to question where their tax dollars were really sent when the government rescued this company.