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.
Trade Group Criticizes SEC Disclosure Proposal
By Matt BradyThe American Council of Life Insurers, Washington, wants federal regulators to keep communication between broker-dealers and customers as simple as possible.[@@]The ACLI is one ...
April 01, 2005
What's the SEC spending?One of the more prominent issues these days for RIAs and broker/dealers alike is compliance. Research conducted by the AdvisorBenchmarking unit of Rydex (see page...
April 01, 2005
SEC Gearing Up for New RulesGet ready. The Securities and Exchange Commission is expected to issue a new rule this year on soft dollars as well as amendments to Form...
March 30, 2005
Industry Pans SEC Proposed Disclosure RuleIndustry Pans SEC Proposed Disclosure Rule Information would have to be provided at the "point of sale"By Matt BradyThe American Council of Life Insurers said ...
March 29, 2005
New CFTC Members Speak to FuturesAs Congress continues its work to reauthorize the Commodity Futures Trading Commission, the two newest members of the commission said they hope the renewal legislation achieves more regulatory clarity for the trading of securities futures products, along with a more explicit mandate to curb fraud in the over-the-counter foreign exchange...
March 23, 2005
SEC Wins Default Judgment Against Fla. FirmFederal regulators say they have won a court order requiring a former principal of a defunct viatical firm to disgorge millions of dollars.[@@]The U.S. ...
March 23, 2005
SEC Announces 2 Fund SettlementsFederal regulators have imposed a total of $60 million in fines on money management units at Citigroup Inc. and Marsh & McLennan Companies Inc.[@@]The ...
March 23, 2005
New RMD Rules Will Challenge VA InsurersBy Timothy C. Pfeifer and Susan J. SellA new Internal Revenue Service regulation will impact calculations of required minimum distributions (RMDs) from variable annuity contracts ...