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.
Atkins Calls For Clarity In VA Rulemaking
By Matt BradyThe U.S. Securities and Exchange Commission should tread carefully in establishing disclosures for variable annuities at the point of sale, an SEC commissioners said ...
June 21, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 17, 2005
SEC Veteran Joins M FinancialM Financial Group has hired Stephan Youhn to be chief compliance officer at its M Holdings Securities Inc. broker-dealer unit.[@@]Youhn previously was managing senior ...
June 16, 2005
SEC Member Hits SOX ImplementationSarbanes-Oxley Act implementation has turned into an auditor-driven, "check the box" exercise.[@@]Cynthia Glassman, a GOP-appointed member of the U.S. Securities and Exchange Commission, gave ...
June 15, 2005
Regulators Want Companies To Include Pension Results In Companywide Results (Updated)Staff members at the U.S. Securities and Exchange Commission are suggesting that public companies should include pension plan results in their consolidated financial results.[@@]Commission ...
June 14, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...
June 14, 2005
Groups Square Off Over OFCName-calling starts over optional federal charter and SMARTWashingtonA rift has erupted between two financial services trade groups over how best to modernize the insurance ...
June 14, 2005
SEC Epands Defendant List In Viatical CaseThe U.S. Securities and Exchange is pressing ahead with a federal civil suit involving a Southeastern viatical firm that attracted more than $1 billion ...