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 Expels Broker/Dealer Charged With Ponzi Scheme
By Janet LevauxEnforcement chief announces plans to leave SRO as well in unrelated development
March 17, 2010
VA Summary Prospectus Looks InevitableIRI pushes for a general summary document that all VA providers can use
March 15, 2010
Editor's Choice for Week of March 15, 2010: Financial Services Reform Bill, the FOMC, and the State of the EconomyWhat's happening this week.
March 15, 2010
Proposed Dodd Bill Would Hike Federal Regulation of InsurersSen. Christopher Dodd has unveiled a financial services bill that would give federal banking regulators the authority to oversee insurance companies, especially if the insurance companies pose a potential threat to the financial system.
March 15, 2010
Dodd Unveils Omnibus Financial Reform Bill; No Fiduciary ObligationLegislation includes SEC study of B/D, advisor regulation; requires hedge funds to register with SEC; raises advisor assets threshold
March 14, 2010
How To Make Worksite E-Enrollments More ProfitableCongratulations! You've sold the case. But if you think all the hard work is done and the upcoming enrollment process will be easy, efficient and profitable--think again.
March 12, 2010
Editor's Edge: No JokeJust 18 months after we were thinking the banks might take an unexpected holiday, they say they need protection from over-regulation.
March 11, 2010
Kohl Proposes Board to Have SEC Regulate Planners and Brokers; Dodd Ends Reform Legislation TalksKohl's amendment to Dodd's reform bill would lump advisors, brokers under one regulatory umbrella