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.
Mary Schapiro to Head SEC
By Melanie WaddellThe Securities and Exchange Commission (SEC) is getting its first woman chair.
December 17, 2008
Breaking news: SEC approves Ruling 151ADec. 17, 2008 - U.S. Securities and Exchange Commission members today offered their overwhelming support to controversial Ruling 151A, a move which could significantly change the way that many of those in the financial services industry make
December 17, 2008
SEC Counsel Confident About Annuity MoveBrian Cartwright, the general counsel of the U.S. Securities and Exchange Commission, says he is "very confident" about the strength of the SEC's position on its ability to regulate indexed annuities.
December 16, 2008
SEC to hold public forum on fixed annuity amendments - Update: SEC approves 151AThe Securities and Exchange Commission is holding an open meeting Wednesday in Washington to consider adopting amendments that would define fixed-annuity-related terms under the Securities...
December 11, 2008
NAIC Reps To Attend SEC Annuity SessionInsurance commissioners plan to head to Washington Dec. 17 for a U.S. Securities and Exchange Commission meeting that is expected to include a discussion on regulation of indexed annuities.
December 11, 2008
SEC Schedules Annuity Proposal ReviewThe U.S. Securities and Exchange Commission says it soon will discuss how to define terms related to annuities.
December 11, 2008
IRS Gives Nonqualified Plan Withholding AdviceThe Internal Revenue Service has released another batch of guidance aimed at taxpayers, employers and others interested in nonqualified deferred compensation plans.
December 11, 2008
NAIC Reps To Attend SEC Annuity SessionInsurance commissioners plan to head to Washington Dec. 17 for a U.S. Securities and Exchange Commission meeting that is expected to include a discussion on regulation of indexed annuities.