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.
Not Just the CCO
By Thomas D. GiachettiWhile the chief compliance officer (CCO) should of necessity be the main player in the compliance review process, whenever possible I strongly recommend that at...
May 31, 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.
May 31, 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.
May 29, 2009
IRS Sees More HSAsThe number of U.S. taxpayers claiming health savings account deductions increased 66% in 2007, to 581,438, from 351,170 in 2006.
May 29, 2009
IRS Sees More HSAsThe number of U.S. taxpayers claiming health savings account deductions increased 66% in 2007, to 581,438, from 351,170 in 2006.
May 29, 2009
Germans Back OFC ConceptThe German Insurance Association is urging Congress to create an optional federal charter for insurers.
May 28, 2009
SEC Resolves Fee CaseThe U.S. Securities and Exchange Commission has negotiated a settlement with an insurer-owned money manager over fund fee concerns and fee disclosure concerns.
May 28, 2009
Germans Back OFC ConceptThe German Insurance Association is urging Congress to create an optional federal charter for insurers.