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.
FINRA -- A new rule every three days
By Jack MarrionSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
October 01, 2008
The Real DealIt would be hard to overemphasize the impact that technology has had on the success of independent financial planning. Those old HP-12Cs empowered the first...
September 30, 2008
FINRA -- A new rule every three daysSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
September 30, 2008
Weathering the stormThis year's Senior Market Advisor Expo in Orlando will go down in the record books as the show that survived a major weather event but still managed to go on strong -- a story of survival and endurance that echoed the sentiments of the
September 29, 2008
Treasury Lets Reservists Take FSA DistributionsCitizen soldiers who go on active duty may be able to withdraw cash from flexible spending accounts.The Internal Revenue Service has described the rules that ...
September 28, 2008
AIG Shows Feds Should Regulate Insurance, Paulson SaysTreasury Secretary Henry Paulson was highly critical of American International Group's oversight, calling for federal regulation of insurance companies during an appearance on "Meet the ...
September 28, 2008
AIG Shows Feds Should Regulate Insurance, Paulson SaysTreasury Secretary Henry Paulson was highly critical of American International Group's oversight, calling for federal regulation of insurance companies during an appearance on "Meet the ...
September 28, 2008
The Challenge Of Self-Supervising ComplianceMost producers value the independence of being their own boss and many try to become as independent as possible of the companies whose products they ...