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.
NAIC To Plan 151A Strategy
By Jim ConnollyThe National Association of Insurance Commissioners government relations leadership council will shape NAIC efforts to respond to the new U.S. Securities Exchange indexed annuity regulations.
January 19, 2009
151A Sets Stage For Federal Regulation Of Other Insurance ProductsWhen the Securities and Exchange Commission adopted Rule 151A on December 17, 2008, the landscape of insurance regulation undeniably changed significantly.
January 19, 2009
For Fixed Index Annuity Carriers The Timing Couldn't Be WorseThe adoption of Securities and Exchange Commission Rule 151A has raised complex questions for index annuity carriers. Answering such questions will result in significant ramifications to this marketplace.
January 19, 2009
IMO Distribution In A Post-Rule 151A WorldFixed indexed annuities since their inception have been distributed to agents overwhelmingly by independent marketing organizations (IMOs).
January 18, 2009
Internet Regulation: Distasteful But InevitableIn the alternate reality known as the world of insurance, the word "regulation" is enough to give most executives the heebie-jeebies.
January 18, 2009
151A Sets Stage For Federal Regulation Of Other Insurance ProductsWhen the Securities and Exchange Commission adopted Rule 151A on December 17, 2008, the landscape of insurance regulation undeniably changed significantly.
January 18, 2009
For Fixed Index Annuity Carriers The Timing Couldn't Be WorseThe adoption of Securities and Exchange Commission Rule 151A has raised complex questions for index annuity carriers. Answering such questions will result in significant ramifications to this marketplace.
January 18, 2009
IMO Distribution In A Post-Rule 151A WorldFixed indexed annuities since their inception have been distributed to agents overwhelmingly by independent marketing organizations (IMOs).