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 Epands Defendant List In Viatical Case
By Allison BellThe 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 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 ...
June 14, 2005
Has The Spate Of Regulations Killed The Golden Goose?Fashioning executive benefits in the post-Enron ageWhen it comes to the recent scrutiny of executive benefits, all roads lead to Enron.Following the company's collapse ...
June 10, 2005
Regulators Talk About Annuity Suitability RulesSome regulators are asking whether they should be talking about minimum annuity nonforfeiture interest rates at a time when some older consumers are buying ...
June 10, 2005
Goldstein Addresses 'Sharply Narrowed' Legal Issue in SEC ChallengeLaying great stress, in the manner of Sherlock Holmes, on the issue of silence--as in that of a certain dog in the night--the petitioners in a lawsuit seeking to have the Securities and Exchange Commission's hedge fund registration rule vacated have filed a reply to the SEC's brief defending the...