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.
IRS Publishes Pension Income Guidance
By Staff WriterThe Internal Revenue Service has released an analysis of three questions that could affect advisors and sponsors of defined benefit pension plans.The guidance, given in ...
November 06, 2007
FINRA Posts Text Of VA Compliance RuleThe Financial Industry Regulatory Authority has published the text of a rule that will govern broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.The U.S. ...
November 04, 2007
FINRA Is At The Back Door Of Index Annuity RegulationProducers in the fixed index annuity market face many questions: Should I become a registered investment advisor (RIA)? Will the Securities and Exchange Commission take ...
November 04, 2007
FINRA Is At The Back Door Of Index Annuity RegulationProducers in the fixed index annuity market face many questions: Should I become a registered investment advisor (RIA)? Will the Securities and Exchange Commission take ...
November 01, 2007
IRS To Raise Fees For ActuariesThe Internal Revenue Service wants to charge more for a program that sets quality standards for key retirement plan advisors.The IRS has proposed charging a ...
November 01, 2007
New York Names Financial Regulation CzarEmpire State officials are moving ahead with efforts to streamline financial services regulation.Scott Rothstein has been picked to be executive director of the New York ...
November 01, 2007
New York Names Financial Regulation CzarEmpire State officials are moving ahead with efforts to streamline financial services regulation.Scott Rothstein has been picked to be executive director of the New York ...
November 01, 2007
New York Names Financial Regulation CzarEmpire State officials are moving ahead with efforts to streamline financial services regulation.Scott Rothstein has been picked to be executive director of the New York ...