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 Seeks Council Members
By Staff WriterThe Internal Revenue Service wants to fill at least 8 seats on the 35-member IRS Advisory Council.
April 22, 2009
NAIC Fires Back On EIAsThe U.S. Securities and Exchange Commission has proposed a definition of "risk" that is "overbroad," the National Association of Insurance Commissioners says in a court brief.
April 21, 2009
SEC Approves VA ChangeThe Financial Industry Regulatory Authority has received permission from federal regulators to update rules that cover the handling of new variable annuity business.
April 21, 2009
NAIC Fires Back On EIAsThe U.S. Securities and Exchange Commission has proposed a definition of "risk" that is "overbroad," the National Association of Insurance Commissioners says in a court brief.
April 21, 2009
FINRA Updates Comp RuleThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 21, 2009
FINRA Updates Comp RuleThe Financial Industry Regulatory Authority wants to change the recordkeeping requirements for variable insurance sellers who get non-cash compensation.
April 20, 2009
SEC: Our Move On Index Annuities Is 'Reasonable'The U.S. Securities and Exchange Commission has filed a court brief defending its decision to regulate some indexed annuities as securities.
April 20, 2009
EIA Sellers Reject SEC PremiseThe fact that "insurance" involves risk taking does not mean that an annuity is automatically subject to U.S. Securities and Exchange Commission regulation, annuity industry lawyers argue in a new brief.