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.
Balancing Act
By Steve PiontekIt was interesting, if not particularly enlightening, to see Treasury Secretary Henry Paulson Jr. weigh in on the issue of how regulated companies in this ...
November 14, 2005
More Hedge Fund Regulation ForeseenAt least one lawyer with experience in the industry predicts that new regulatory and enforcement initiatives are coming, whether at the level of the states or from federal agencies.
November 11, 2005
GAO%3A IRS Has Serious Internal Controls ProblemsLife company executives embarrassed about internal controls problems have company in Washington: The U.S. Government Accountablity Office says the Internal Revenue Service has serious ...
November 09, 2005
The Best And Worst All In OneThere was a Hollywood movie star who said: "I don't care what you say about me, just spell my name right."Indexed annuities may not ...
November 09, 2005
Industry Groups Sue California Department Over Underground DI RegulationsWashingtonThe life and health insurance industry asked a state court in California on Nov. 30 to stop the state insurance department from enforcing "underground ...
November 06, 2005
409A Is The Law...Now What?In the world of nonqualified deferred compensation, there's a new sheriff in town named 409A. It took a while for this law to make itself ...
November 06, 2005
409A Is The Law...Now What?In the world of nonqualified deferred compensation, there's a new sheriff in town named 409A. It took a while for this law to make itself ...
November 01, 2005
It's All About LayersRegistered investment advisors are subject to regulation and oversight by the Securities and Exchange Commission (SEC), and are subject to the provisions of the Investment...