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.
Clark at Large: Something About Mary
By Bob Clark, Bob ClarkThe drive to reregulate financial advice shifted into high gear on June 17, when the Obama Administration released its white paper containing proposals for 21st...
July 29, 2009
Readers spot holes in Court decisionLast week we reported that the U.S. Court of Appeals had remanded Rule 151A, sending it back to the SEC for further analysis and investigation. Since that time, we've heard from many of you, voicing your thoughts on this decision. Below,
July 29, 2009
Readers spot holes in Court decisionLast week we reported that the U.S. Court of Appeals had remanded Rule 151A, sending it back to the SEC for further analysis and investigation. Since that time, we've heard from many of you, voicing your thoughts on this decision. Below,
July 29, 2009
SEC Ordered to Reconsider Annuity RuleFinding on July 21 that the SEC had "failed to properly consider the effect of the rule upon efficiency, competition and capital formation," the Court of Appeals for the District of Columbia told the SEC to reconsider Rule 151A.
July 28, 2009
TD Ameritrade Criticizes SEC Surprise Audit ProposalIn comment letter, Tom Bradley urges advisors to also weigh in on custody rule
July 28, 2009
Witnesses Back Federal RoleA consumer group representative and a law professor today told a Senate panel that they think the federal government should help regulate the insurance industry.
July 28, 2009
Witnesses Back Federal RoleA consumer group representative and a law professor today told a Senate panel that they think the federal government should help regulate the insurance industry.
July 27, 2009
Blogger: Rule 151A Is DeadA former insurance industry executive who has opposed U.S. Securities and Exchange Commission efforts to regulate indexed annuities says he thinks the SEC will drop those efforts.