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: MetLife Still A Well-Known Issuer
By Staff WriterThe U.S. Securities and Exchange Commission says a financial services giant can continue to have easy access to the U.S. capital markets.Mary Kosterlitz, an official ...
March 01, 2006
Iowa To Evaluate EIA RegulationsOfficials in a state that is home to several large issuers of equity-indexed annuities are reviewing the rules that govern indexed life and annuity products.The ...
March 01, 2006
Iowa To Evaluate EIA RegulationsOfficials in a state that is home to several large issuers of equity-indexed annuities are reviewing the rules that govern indexed life and annuity products.The ...
March 01, 2006
More Money for the CopsUnder President Bush's 2007 fiscal budget, the SEC's enforcement division as well as the inspections and examinations division would both get more cash. The administration...
February 26, 2006
Misrecollected (sic)"If it turned out that what he said was wrong, that doesn't mean he is a liar. It means he may have misrecollected what happened."These ...
February 21, 2006
Hedge Fund Managers Ignore Registration DeadlineAs many as several thousand U.S.-based hedge fund managers have not registered with the Securities and Exchange Commission.
February 19, 2006
Talk Of 'Accountability' Is Cheap For ChoicePointUnless you're considerably past your wonder years or are a devotee of 1970s news milestones, you probably don't remember the name Spiro T. Agnew. Yet, ...