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.
Federal Charter Debated In Washington Forum
By Matt BradyMomentum for an optional federal charter for insurers is building on Capital Hill and in the White House, according to one of the bill's House ...
March 01, 2008
The Empire Strikes BackWell you didn't think they'd take it lying down, did you? I'm referring, of course, to the Wall Street wirehouses, and the drubbing they took...
March 01, 2008
Know Your ClientOne of the great joys of being a financial advisor is the opportunity it provides to develop a close relationship with your broker-dealer's compliance department....
February 27, 2008
IRS May Develop Trust Fee Safe HarborsThe Internal Revenue Service is trying to help administrators of estates and nongrantor trusts cope with a new U.S. Supreme Court ruling.The court ruled in ...
February 27, 2008
IRS May Develop Trust Fee Safe HarborsThe Internal Revenue Service is trying to help administrators of estates and nongrantor trusts cope with a new U.S. Supreme Court ruling.The court ruled in ...
February 26, 2008
FINRA Posts VA WebcastThe Financial Industry Regulatory Authority has developed an 8-minute-long video presentation on supervision requirements for deferred variable annuity recommendations.Visitors need Macromedia Flash 8.0 to watch ...
February 24, 2008
Industry Groups Pan DOL's Proposed Disclosure RegulationsProposed regulations to enhance disclosures to beneficiaries of retirement and other benefit plans have drawn criticism from agents, brokers and the plans themselves as being ...
February 24, 2008
Industry Groups Pan DOL's Proposed Disclosure RegulationsProposed regulations to enhance disclosures to beneficiaries of retirement and other benefit plans have drawn criticism from agents, brokers and the plans themselves as being ...