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.
Editorial comment: Digest this
By Linda KocoFINRA variable annuity sales fines no longer represent an insignificant dollar amount, as they have in the past. Annuity professionals need to factor awareness about this into operations at multiple levels.
August 24, 2009
Quiz question: The 151A court decisionThis quiz question asks readers to identify the key elements of the July 21, 2009 U.S. Court of Appeals decision concerning the Securities and Exchange Commission's proposed Rule 151A.
August 20, 2009
Life Settlement Tax Issues After IRS Ruling 2009-13Assume Ellen owns a cash value life policy on which she has paid $64,000 in premiums over 10 years. She has never taken out withdrawals or loans, and the cash value is now $78,000. She decides to
August 19, 2009
Life Settlement Tax Issues After IRS Ruling 2009-13Assume Ellen owns a cash value life policy on which she has paid $64,000 in premiums over 10 years. She has never taken out withdrawals or loans, and the cash value is now $78,000. She decides to
August 18, 2009
SEC Seeks Alternative Uptick RuleThe SEC is seeking public comment on an alternative approach to short selling price test restrictions.
August 17, 2009
Web Exclusive: Valuation PitfallsElizabeth Ochoa and Clay Bristow write about the critical importance of getting business valuations that can hold up to IRS and courtroom scrutiny.
August 15, 2009
Does More Regulation Mean Better Business For You?Kathy Donovan, senior compliance counsel for the Insurance Compliance Solutions group at Wolters Kluwer Financial Services, explains how the Obama administration wants to change insurance industry regulation...
August 14, 2009
Can Derivatives be Tamed?Obama proposes reforms for OTC derivatives...Judge Jed Rakoff wants answers about Bank of America-Merrill bonuses...the Lewis Liman defense.