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.
Sununu Says House Will Soon Introduce OFC Bill
By Matt BradyBipartisan legislation calling for creation of an optional federal charter will soon be introduced in the House, one of the sponsors of such legislation in ...
June 22, 2006
House To Get Federal Regulation BillAdvocates of major changes in the U.S. insurance regulatory system are about to unveil the House version of legislation that would let carriers choose between ...
June 22, 2006
House To Get Federal Regulation BillAdvocates of major changes in the U.S. insurance regulatory system are about to unveil the House version of legislation that would let carriers choose between ...
June 19, 2006
AHIP: High Court Ruling Will Have Little Effect On CarriersThe U.S. Supreme Court has ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not ...
June 19, 2006
AHIP: High Court Ruling Will Have Little Effect On CarriersThe U.S. Supreme Court has ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not ...
June 05, 2006
Fine, Suspension in Four-Year-Old Trading CaseRUMSON, N.J. (HedgeWorld.com)--The U.S. Securities and Exchange Commission said May 31 that it had settled charges that a New Jersey broker-dealer representative had failed to supervise an employee involved in a penny-stock pump-up scheme in mid-2002. Without admitting or denying wrongdoing, Robert W. Oakes Jr. of Rumson, N.J. agreed to...
June 01, 2006
NUMEROLOGYDuring the 2003-2004 election cycle, the Financial Planning Association's Political Action Committee (PAC) contributed $5,000 to federal candidates, according to Federal Election Commission. Among PACs...
June 01, 2006
News & ProductsBaby boomers and seniors--don't confuse the two. By today's standards, boomers are middle aged, and they're not ready to think about retirement, nor are they...