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 eyes target-date funds
By Danielle AndrusTarget-date funds are the newest product in the Securities and Exchange Commission's crosshairs. Chairman Mary Schapiro recently announced the agency will begin examining the...
March 04, 2010
Insurer, SEC Reach Settlement Over Proxy DisclosureAmerican Equity Investment Life Holding Company, Des Moines, Iowa, and two of its officers have reached civil settlements with the Securities and Exchange Commission, Washington.
March 02, 2010
SEC, IRS Team Up to Police Municipal BondsAgencies say $2.8 trillion muni bond market continues to grow in complexity and size.
March 01, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
March 01, 2010
Advisor Issues at Fore of SEC AgendaCustody rule takes affect March 12; SEC working on final pay-to-play rule.
February 28, 2010
Don't let your clients fall for green-energy scamsThe explosion of interest in alternative, renewable or waste-energy products has spawned a wave of green-energy scammers.
February 28, 2010
Why Shouldn't Investors' Best Interests Come First?Are Senators strong enough--and do they have enough integrity--to stand up on behalf of retail investors and insist on extending the fiduciary standard to cover those who provide advice to retail investors?