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 Unveils Variable Insurance Communications Draft
By Allison BellThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.
December 07, 2009
Lexington Offers RIA Compliance ServicesZachary Gronich has started Lexington Compliance, a firm that can help registered investment advisors with ongoing compliance needs.
December 07, 2009
Variable Annuity Group Applauds SEC Call for VA Summary ProspectusIRI says Schapiro's plan is "long overdue"
December 07, 2009
House Panel Passes Financial Reform BillsLegislation giving the federal government broad authority to deal with troubled financial institutions, including insurers, as well as a bill creating a Federal Insurance Office passed the House Financial Services Committee on Nov. 4.
December 06, 2009
House Panel Passes Financial Reform BillsLegislation giving the federal government broad authority to deal with troubled financial institutions, including insurers, as well as a bill creating a Federal Insurance Office passed the House Financial Services Committee on Nov. 4.
December 02, 2009
No Federal Regulation of Insurance, Yet, as House Committee Approves Financial Stability and Insurance Office BillsFull House to begin debating financial reform December 9
December 01, 2009
SEC 151A: The final countdown?With just over a year until the SEC's controversial 151A ruling is set to go into law, legislators and activists have moved their anti-151A lobbying efforts into high gear.
December 01, 2009
Danger & Opportunity: Staggering Toward ReformAs we enter the final month of 2009, the financial services industry anticipates some type of reform from Washington by year-end, but the consensus is...