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.
GroupThink
By Staff Writer? At the 2010 Investment Management Consultants Association (IMCA) New York Consultants Conference on January 10, IMCA introduced its new president, John Granzow, who began...
January 31, 2010
Get Ready For Stronger Federal OversightBe prepared. The tsunami set off by the election of a Republican senator from Massachusetts is likely to generate far stronger federal oversight of the insurance industry than would have otherwise been the case.
January 28, 2010
Connecticut Drafts Professional Designation RegulationThe Connecticut Insurance Department is proposing new regulations governing use of "senior-specific certifications and professional designations" in the sale of life insurance and annuities.
January 28, 2010
SEC Issues Guidance on Climate Change DisclosureCommission takes no position on climate change only risk factors companies must reveal
January 27, 2010
Connecticut Drafts Professional Designation RegulationThe Connecticut Insurance Department is proposing new regulations governing use of "senior-specific certifications and professional designations" in the sale of life insurance and annuities.
January 27, 2010
Schapiro: SEC Collaborating on Broker/Dealer, Advisor ExamsNew OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams
January 27, 2010
House Panel Grills Witnesses Over Aid To AIGMembers of the House Oversight and Government Reform Committee are holding a hearing on federal financial assistance to American International Group Inc. (NYSE:AIG).
January 27, 2010
House Panel Grills Witnesses Over Aid To AIGMembers of the House Oversight and Government Reform Committee are holding a hearing on federal financial assistance to American International Group Inc. (NYSE:AIG).