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.
SIFMA Challenges SEC
By Staff WriterThe Securities Industry and Financial Markets Association (SIFMA), is challenging the SEC to declare a moratorium on decisions allowing exchanges to charge higher fees for market data, "until the SEC is able to address the fundamental legal and policy issues created by for-profit exchanges," according to an announcement January 19...
January 12, 2007
New SRO May Become a Reality by Second QuarterThe merger of the regulatory arms of the NYSE and NASD should be completed by the second quarter of this year, Robert Errico, executive VP at NASD told a group of lawyers at ALI-ABA's broker/dealer regulation event in Washington January 11.
January 02, 2007
Feds May Try To CutA voluntary long term care insurance program is having a hard time mailing promotional letters to federal employees, but the insureds appear to be good ...
January 02, 2007
Feds May Try To CutA voluntary long term care insurance program is having a hard time mailing promotional letters to federal employees, but the insureds appear to be good ...
January 01, 2007
Getting Compliance Help NowIt's been a little over two years since the Securities and Exchange Commission issued its infamous rule--known as the compliance rule--requiring advisors to have a...
December 29, 2006
Feds May Try To Cut Employee LTC Profit LevelsA voluntary long term care insurance program is having a hard time mailing promotional letters to federal employees, but the insureds appear to be good ...
December 28, 2006
OPM: 690,000 Join Voluntary PlansThe U.S. Office of Personnel Management says it is pleased with enrollment figures for the new Federal Employees Dental and Vision Insurance Program.The first open ...
December 27, 2006
SEC Takes Official Look At UnitedHealthThe U.S. Securities and Exchange Commission has taken an interest in the executive compensation practices of a large health carrier.The SEC has sent a formal ...