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.

Federal Regulation

Plain English, Please

By Staff Writer
12b-1 Headed for an Overhaul

April 01, 2008

12b-1 Headed for an Overhaul
Seminars and credentials go under the microscope

March 31, 2008

Seminars and credentials go under the microscope
Growling Pays

March 30, 2008

Growling Pays
ASPPA, COPA Weigh In On Proposed Hybrid Regs

March 28, 2008

ASPPA, COPA Weigh In On Proposed Hybrid Regs
DOD: Cash Payments May Not Violate Tricare Rules

March 28, 2008

DOD: Cash Payments May Not Violate Tricare Rules
FINRA Implements Rule Easing Sales Lit Review Standards

March 27, 2008

FINRA Implements Rule Easing Sales Lit Review Standards
Cox to Get Rand Recommendations by May 5

March 25, 2008

Cox to Get Rand Recommendations by May 5