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.
DOL Extends Investment Advice Effective Date
By Melanie WaddellAdditional time needed to consider legal and policy issues
November 17, 2009
PBGC Protects Citizen SoldiersThe Pension Benefit Guaranty Corp. is acting to ease the worries of pension plan participants who are serving in the uniformed services when a plan terminates.
November 16, 2009
Dodd Bill Imposes Fiduciary StandardCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 16, 2009
Marrion predicts broader FINRA regulationDown the road, FINRA will likely be regulating all annuity and life insurance agents according to NAILBA 2009 breakout session speaker Jack Marrion.
November 16, 2009
Marrion predicts broader FINRA regulationDown the road, FINRA will likely be regulating all annuity and life insurance agents according to NAILBA 2009 breakout session speaker Jack Marrion.
November 15, 2009
Dodd Bill Imposes Fiduciary StandardCongressional committees have proposed changes in suitability standards that, if sustained, could pose a crippling blow to life insurance agents who sell a limited number of investment products.
November 12, 2009
Court May Toss 151A OrderA federal appeals court panel could vacate Rule 151A, a regulation that would let the U.S. Securities and Exchange Commission classify indexed annuities as securities.
November 12, 2009
Court May Toss 151A OrderA federal appeals court panel could vacate Rule 151A, a regulation that would let the U.S. Securities and Exchange Commission classify indexed annuities as securities.