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.
Reform May Not Be Optional
By Arthur D. PostalA draft of Obama administration financial services regulatory reform principles suggests that some large insurers may come under the jurisdiction of a general federal insurance regulator.
June 03, 2009
FINRA Slows Fines and Enforcement ActionsB/Ds and reps saw fewer fines and enforcement actions in 2008
June 03, 2009
Expert: IRS Helped Secondary MarketThe new Internal Revenue Service rulings on life settlement taxation should increase secondary market opportunities, Jon Mendelsohn says.
June 03, 2009
FINRA sanctioned far less in 2008, law firm reportsIt was a "slow year" for FINRA in 2008, according to one law firm's assessment. Sutherland Asbill & Brennan LLP released analysis Wednesday revealing FINRA -...
June 01, 2009
The SEC And Innovation In Annuities: What Is NeededMany of the developments and anxieties of the first quarter of 2009 have been attributable to the financial crisis.
June 01, 2009
Want some regulation?Do you want to keep power in the hands of the states, move to a more centralized federal oversight, or leave it as is?
June 01, 2009
IRS Answers EOLI QuestionsA grantor trust may be able to be the owner of an employer-owned life insurance contract, but a qualified plan that is supported by a trade or business cannot.
June 01, 2009
B/D News & ProductsThe Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its BrokerCheck service which would make records of final regulatory actions against brokers...