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.
Insurer Wants SEC To Start Over On 151A
By Arthur D. PostalA federal Appeals Court panel should require the Securities and Exchange Commission to start from scratch if it continues to want to regulate equity-indexed annuities as securities
November 20, 2009
Labor Withdraws Investment Advice RegsThe Obama administration has decided to cancel implementation of a final rule that was approved in January and work on rewriting and reissuing some of the regulations that were in the final rule.
November 20, 2009
Labor Withdraws Investment Advice RegsThe Obama administration has decided to cancel implementation of a final rule that was approved in January and work on rewriting and reissuing some of the regulations that were in the final rule.
November 19, 2009
DOL Extends Investment Advice Effective Date, Then Withdraws RuleDOL says it intends to publish separately a proposed rule that conforms to the PPA statutory exemption relating to investment advice
November 18, 2009
FINRA: Be More Careful About E-MailThe Financial Industry Regulatory Authority has imposed a $1.2 million fine on an insurer-affiliated securities firm over allegations that the firm had a weak e-mail supervision program.
November 17, 2009
Lawyer Interprets 151A RulingA Washington financial services regulation expert has warned against assuming that the U.S. Court of Appeals for the D.C. Circuit is about to throw out Regulation 151A.
November 17, 2009
FINRA to Expand BrokerCheck; Rep Info to Stay OnlineDisclosure records for former brokers will be available on BrokerCheck beginning November 30, FINRA says, and the records will remain online -- even if the rep leaves the industry.
November 17, 2009
Lawyer Interprets 151A RulingA Washington financial services regulation expert has warned against assuming that the U.S. Court of Appeals for the D.C. Circuit is about to throw out Regulation 151A.