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.
What the Future Will Bring
By James J. GreenWhat worries these advisors? What gives them cause for hope? Bob Len is troubled by some regulations, particularly those that stand in the way of globalization,...
November 01, 2009
Danger & Opportunity: Healthcare, Financial Services Reform Making HeadwayTwo of the Obama Administration's top priorities to accomplish by year-end--healthcare and financial services reform--are well on their way to fruition. The Senate Finance Committee passed...
October 31, 2009
Regulator targets use of mortgage money for securitiesIf you're considering asking clients to fund the purchase of a security by refinancing their mortgage or taking out a home-equity loan, watch out.
October 29, 2009
Web Exclusive: The Red Flags RuleKathy Donovan explains that a new federal anti-identity theft regulation can affect insurers as well as bankers.
October 29, 2009
House Financial Services Approves Hedge Fund, Credit Ratings Agency BillsMarkup on Investor Protection Act in full force
October 29, 2009
Red Flags Rule and Insurers: Is Your Compliance Ready?The Red Flags Rule was developed to help combat fraud.
October 27, 2009
SEC Chair Speaks to SIFMAThis news originally appeared on WealthManagerWeb on 10/27/09 Securities and Exchange Commission Chairman Mary L. Schapiro spoke of the need to "restore investor confidence by focusing...
October 25, 2009
AIG Releases $12.1 Million In Executive CompAmerican International Group Inc. now has paid $12.1 million in past due executive retention payments, including $4 million to 4 top employees.