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 151A: The final countdown?
By Andy StonehouseWith 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.
November 24, 2009
Insurer Wants SEC To Start Over On 151AA federal Appeals Court panel should require the Securities and Exchange Commission to start from scratch if it continues to want to regulate equity-indexed annuities as securities
November 24, 2009
Life Groups Ask Dodd to Ditch RIA Provision in Regulation BillRequiring insurance agents to register as advisors costly, counterproductive, groups say
November 24, 2009
Insurer Wants SEC To Start Over On 151AA federal Appeals Court panel should require the Securities and Exchange Commission to start from scratch if it continues to want to regulate equity-indexed annuities as securities
November 20, 2009
Labor Withdraws Investment Advice RegsThe Obama administration has decided to cancel implementation of a final rule that was approved in January and work on rewriting and reissuing some of the regulations that were in the final rule.
November 20, 2009
Labor Withdraws Investment Advice RegsThe Obama administration has decided to cancel implementation of a final rule that was approved in January and work on rewriting and reissuing some of the regulations that were in the final rule.
November 19, 2009
DOL Extends Investment Advice Effective Date, Then Withdraws RuleDOL says it intends to publish separately a proposed rule that conforms to the PPA statutory exemption relating to investment advice
November 18, 2009
FINRA: Be More Careful About E-MailThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.