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.
SEC Changes Principal Trading Rule
By Staff WriterThe SEC announced September 20 a temporary rule regarding principal trades with investment advisory accounts, Section 206(3) of the Advisers Act, which is intended to make October 1 compliance with the rollback of the Broker/Dealer Exemption Rule, which exempted brokers from regulation as an investment advisor even when they were...
September 16, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 16, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 16, 2007
Approved FINRA VA Rule Draws ReactionAttendees at two major national meetings offered their reaction to approval of a variable annuity sales practice rule by the U.S. Securities and Exchange Commission.On ...
September 16, 2007
Approved FINRA VA Rule Draws ReactionAttendees at two major national meetings offered their reaction to approval of a variable annuity sales practice rule by the U.S. Securities and Exchange Commission.On ...
September 16, 2007
SEC Criticizes "Free Lunch" SeminarsSecurity regulators last week continued to question some of the ways investment firms and professionals represent their products, their sales tools and themselves, particularly to ...
September 14, 2007
Labor Sets Union Plan Disclosure RulesThe U.S. Department of Labor has proposed rules that will give participants in multiemployer pension plans the right to get copies of plan funding documents.Union ...
September 13, 2007
IRS Creates COLI Safe Harbor For InsurersThe Internal Revenue Service has come out with guidelines to help insurers apply insurance company proration rules to corporate-owned life insurance.The guidelines, given in IRS ...