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.
What a Reinvigorated SEC Will Mean for You
By David TittsworthReports of the demise of the Securities and Exchange Commission were premature. In the wake of the Madoff scandal, some questioned whether the SEC would...
April 30, 2010
Social networking: Nirvana or nightmare?While social networking sites are a marketer's dream, they're also rife with potential compliance issues.
April 30, 2010
FINRA pushing for greater broker transparencyBottom line: If advisors have nothing to hide, they have nothing to fear from enhanced disclosure requirements.
April 30, 2010
Fiduciary standard back in play in Dodd reform billA uniform fiduciary standard for all providers of advice is back on the table in the Senate. Supporters, including financial planners, said Friday, April 30, that...
April 30, 2010
To securitize, or not to securitize: Defending your business from 151AInterested in taking the plunge and becoming securities licensed?
April 29, 2010
Variable Products Move Onto SEC's RadarSEC, FINRA to release updated report on effective VA practices
April 29, 2010
AIG Looks Healthier, Says GAOAmerican International Group Inc. appears to be stable, primarily as a result of a huge infusion of government financial aid, according to U.S. Government Accountability Office officials.
April 29, 2010
Dealing With Orphan PolicyholdersAn orphan in insurance industry parlance is a policyholder whose original agent is no longer an active agent for the company that issued the policy.