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.
FINRA Issues Ghostwriting Guidance
By Staff WriterThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 21, 2008
High-Level Roundtable Discusses Likelihood Of Federal RegulationA high level, Washington roundtable attended by the majority whip of the Senate, the chair of the House Financial Services Committee, a Congressman, 28 state ...
May 21, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 20, 2008
Expect More Fed Pressure If Dems Control Washington, Says PCI HeadThe chief executive of the Property Casualty Insurers Association of America, Des Plaines, Ill., said he believes if the Democratic party expands its majorities in ...
May 20, 2008
Expect More Fed Pressure If Dems Control Washington, Says PCI HeadThe chief executive of the Property Casualty Insurers Association of America, Des Plaines, Ill., said he believes if the Democratic party expands its majorities in ...
May 19, 2008
Don't play games with your CEContinuing education requirements are a fact of life for most financial professionals. The vast majority dutifully complete their courses, take their exams, and do a better job for their clients as a result. However, a few opt to game the system by
May 18, 2008
Federal Regulation Is "Inevitable" In Long Term, Fich ForecastsFederal regulation of the U.S. insurance industry probably is coming, but it may not bring quick benefits to insurers or to consumers.Analysts in the Chicago ...
May 18, 2008
Federal Regulation Is "Inevitable" In Long Term, Fich ForecastsFederal regulation of the U.S. insurance industry probably is coming, but it may not bring quick benefits to insurers or to consumers.Analysts in the Chicago ...