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.
Lawyer Interprets 151A Ruling
By Arthur D. PostalA Washington financial services regulation expert has warned against assuming that the U.S. Court of Appeals for the D.C. Circuit is about to throw out Regulation 151A.
November 17, 2009
DOL Extends Investment Advice Effective DateAdditional time needed to consider legal and policy issues
November 17, 2009
EBSA To Spend More Time On Advice RulesAn arm of the U.S. Department of Labor is once again pushing back the effective date for regulations that would govern the delivery of investment advice to retirement plan participants.
November 17, 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.
November 17, 2009
PBGC Protects Citizen SoldiersThe Pension Benefit Guaranty Corp. is acting to ease the worries of pension plan participants who are serving in the uniformed services when a plan terminates.
November 16, 2009
Dodd Bill Imposes Fiduciary StandardCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 16, 2009
Marrion predicts broader FINRA regulationDown the road, FINRA will likely be regulating all annuity and life insurance agents according to NAILBA 2009 breakout session speaker Jack Marrion.
November 16, 2009
Marrion predicts broader FINRA regulationDown the road, FINRA will likely be regulating all annuity and life insurance agents according to NAILBA 2009 breakout session speaker Jack Marrion.