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.
FINRA -- A new rule every three days
By Jack MarrionSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
September 28, 2008
AIG Shows Feds Should Regulate Insurance, Paulson SaysTreasury Secretary Henry Paulson was highly critical of American International Group's oversight, calling for federal regulation of insurance companies during an appearance on "Meet the ...
September 28, 2008
AIG Shows Feds Should Regulate Insurance, Paulson SaysTreasury Secretary Henry Paulson was highly critical of American International Group's oversight, calling for federal regulation of insurance companies during an appearance on "Meet the ...
September 28, 2008
The Challenge Of Self-Supervising ComplianceMost producers value the independence of being their own boss and many try to become as independent as possible of the companies whose products they ...
September 28, 2008
The Challenge Of Self-Supervising ComplianceMost producers value the independence of being their own boss and many try to become as independent as possible of the companies whose products they ...
September 26, 2008
TD Ameritrade Offers $50 Million in Client SupportIn the wake of the announcement that the value of the original money market mutual fund, The Primary Fund, had dropped below $1 per share, primarily due to debt written off in the face of the Lehman Brothers collapse, TD Ameritrade has pledged up to $50 million to mitigate client...
September 23, 2008
Paulson Plan Hits TurbulenceCongressional leaders are raising questions about efforts by the Bush administration to hurry a $700 billion rescue plan bill through Congress.Treasury Secretary Henry Paulson and ...
September 23, 2008
Congress Wary of Treasury Bailout PlanMembers of Congress pressed Treasury Secretary Henry Paulson and Federal Reserve Chairman Ben Bernanke to explain why lawmakers should move quickly--as early as Friday, September...