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.
Avoiding Depression
By Kate McBrideDepression Averted...says Paul Krugman...Should the Sec be self-funded? They make much more for the Treasury than they receive from Congress...
August 07, 2009
FINRA To Update Media RegsThe U.S. Securities and Exchange Commission is reviewing a proposed rule that could affect some variable product sellers' media relations operations.
August 07, 2009
FINRA Pans VUL StrategyThe Financial Industry Regulatory Authority has imposed a $100,000 fine on an insurer-affiliated investment firm over a former broker's strategy for selling variable universal life insurance.
August 07, 2009
FINRA To Update Media RegsThe U.S. Securities and Exchange Commission is reviewing a proposed rule that could affect some variable product sellers' media relations operations.
August 06, 2009
Getting Greenburg's pocket changeIs a million dollars a lot of money anymore? Little surprise, Donald Trump doesn't think so. And I'm sure Hank Greenburg simply reached into his...
August 06, 2009
Greenberg Settles With SECMaurice Greenberg, former chairman of American International Group Inc., has agreed to pay $15 million to settle U.S. Securities and Exchange Commission charges that he made AIG's finances look artificially strong.
August 06, 2009
Greenberg Settles With SECMaurice Greenberg, former chairman of American International Group Inc., has agreed to pay $15 million to settle U.S. Securities and Exchange Commission charges that he made AIG's finances look artificially strong.
August 04, 2009
IRS: Let Us Help YouThe Internal Revenue Service is encouraging business taxpayers and business associations to submit tax concerns to the the Industry Issue Resolution program.