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.
FINRA Issues Catastrophe Bond Risk Alert
By Staff WriterThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 21, 2008
Groups React To FINRA VA Rule DelayInsurance industry groups are welcoming an announcement that the Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new variable annuity marketing ...
April 19, 2008
Tax advice from the IRSIt's that time of year. The time everyone has to pay taxes. And when it comes to taxes, there is no bigger authority than the Internal Revenue Service. The IRS developed the following tax tips for seniors to help them avoid some common errors and
April 18, 2008
Tax advice from the IRSIt's that time of year. The time everyone has to pay taxes. And when it comes to taxes, there is no bigger authority than the Internal Revenue Service. The IRS developed the following tax tips for seniors to help them avoid some common errors and
April 18, 2008
IRS Seeks Public InputIRS Asks For Guidance Wish ListNU Online News Service, April 18, 2008,4:30 p.m. EDTThe Internal Revenue Service wants to know what members of the ...
April 18, 2008
FINRA To Postpone Suitability Review ImplementationThe Financial Industry Regulatory Authority has decided to put off enforcing a proposed deferred variable annuity sales review regulation until 180 days after it rewrites ...
April 18, 2008
FINRA To Postpone Suitability Review ImplementationThe Financial Industry Regulatory Authority has decided to put off enforcing a proposed deferred variable annuity sales review regulation until 180 days after it rewrites ...