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.
The Challenge Of Self-Supervising Compliance
By Dennis M. GronerMost producers value the independence of being their own boss and many try to become as independent as possible of the companies whose products they ...
September 23, 2008
Congress Wary of Treasury Bailout PlanMembers of Congress pressed Treasury Secretary Henry Paulson and Federal Reserve Chairman Ben Bernanke to explain why lawmakers should move quickly--as early as Friday, September...
September 23, 2008
EBSA Posts Compliance ToolThe federal Employee Benefits Security Administration has created a Web-based service that can help employers and plan administrators pay civil penalties for delinquent annual report ...
September 23, 2008
IMSA: Compliance Officers Prefer Federal RegulationMany executives who help insurers comply with regulations would prefer to see a single federal regulatory agency replace the current state-based system.Staffers at the Insurance ...
September 23, 2008
IMSA: Compliance Officers Prefer Federal RegulationMany executives who help insurers comply with regulations would prefer to see a single federal regulatory agency replace the current state-based system.Staffers at the Insurance ...
September 23, 2008
Paulson Calls For Federal Insurance OversightWhile testifying on the federal institution rescue plan, Treasury Secretary Henry Paulson today repeated calls for creation of a federal insurance regulatory system.Paulson said at ...
September 23, 2008
Paulson Calls For Federal Insurance OversightWhile testifying on the federal institution rescue plan, Treasury Secretary Henry Paulson today repeated calls for creation of a federal insurance regulatory system.Paulson said at ...
September 22, 2008
State Officials Reject Paulson OFC ReasoningState lawmakers and insurance regulators say federal regulators should focus on doing a better job rather than on expanding their jurisdiction to include the insurance ...