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.
SEC To Work With Labor
By Staff WriterThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 29, 2008
Dodd: Congress Could Pass OII BillSen. Christopher Dodd says Congress really could pass a federal Office of Insurance Information bill this year.H.R. 5840, a bill endorsed by the House Financial ...
July 27, 2008
DOL Proposes Simplified Disclosure For 401(k) Investment OptionsThe Department of Labor has released proposed regulations aimed at providing workers with a simplified comparison of investment options for 401(k) and other employee retirement ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 27, 2008
DOL Proposes Simplified Disclosure For 401(k) Investment OptionsThe Department of Labor has released proposed regulations aimed at providing workers with a simplified comparison of investment options for 401(k) and other employee retirement ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...