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.
Love Among the Ruins: B/D Reps Add to the Conversation
By James J. GreenArticle on "How to Ruin a Good Broker/Deal" prompts reader responses
June 01, 2005
IT Eecs Lament Tight Budgets, Lack Of Non-IT SupportOrlandoAn electronic poll conducted during the ACORD LOMA Insurance Systems Forum held here last month revealed that insurers' information technology executives are facing numerous ...
June 01, 2005
Former Aetna Chairman To Leave SECWilliam Donaldson will be retiring from his post as chairman of the U.S. Securities and Exchange Commission June 30.[@@]Donaldson, who turns 74 Thursday, said ...
June 01, 2005
E-Cologne Re Eec To Testify Against AIGA former chief executive at Cologne Re Dublin pleaded guilty last week to federal criminal conspiracy charges and agreed to testify against management at ...
June 01, 2005
You Can Fight the SECOn April 14, the Securities & Exchange Commission agreed to pay $102,969 in attorney's fees incurred by one Charles D. Elliot III in fighting an...
June 01, 2005
Reg Rigmarole Crippling Fund FirmsMutual fund officials told Congress last month that fund firms are drowning in the deluge of SEC rules they've come under in the last year...
June 01, 2005
Stretched Too Thin?No single commercial or governmental agency has as big an influence on financial planners and investment advisors as the Securities and Exchange Commission. Moreover, within...
June 01, 2005
Who's in Charge?As the turf war between state and federal regulators rages on, industry officials are debating whether that competition is good for investors. Ron Rhoades, chief...