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.
Lexington Offers RIA Compliance Services
By staff WriterZachary Gronich has started Lexington Compliance, a firm that can help registered investment advisors with ongoing compliance needs.
December 06, 2009
House Panel Passes Financial Reform BillsLegislation giving the federal government broad authority to deal with troubled financial institutions, including insurers, as well as a bill creating a Federal Insurance Office passed the House Financial Services Committee on Nov. 4.
December 02, 2009
No Federal Regulation of Insurance, Yet, as House Committee Approves Financial Stability and Insurance Office BillsFull House to begin debating financial reform December 9
December 01, 2009
SEC 151A: The final countdown?With just over a year until the SEC's controversial 151A ruling is set to go into law, legislators and activists have moved their anti-151A lobbying efforts into high gear.
December 01, 2009
Danger & Opportunity: Staggering Toward ReformAs we enter the final month of 2009, the financial services industry anticipates some type of reform from Washington by year-end, but the consensus is...
November 30, 2009
SEC 151A: The final countdown?With just over a year until the SEC's controversial 151A ruling is set to go into law, legislators and activists have moved their anti-151A lobbying efforts into high gear.
November 26, 2009
Medicare takes on "free lunch" seminarsOpen enrollment season means seniors need to be on their guard.
November 26, 2009
Medicare takes on "free lunch" seminarsOpen enrollment season means seniors need to be on their guard.