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 Schedules Annuity Proposal Review
By Staff WriterThe U.S. Securities and Exchange Commission says it soon will discuss how to define terms related to annuities.
December 08, 2008
Roel Campos Forecasts Regulatory LandscapeFormer SEC Commissioner Roel Campos, who is now part of President-elect Barack Obama's economic transition team
December 08, 2008
IRS Continues Nonqualified Plan WorkThe Internal Revenue Service has proposed rules that taxpayers could use to calculate what they owe when nonqualified deferred compensation plans violate nonqualified plan requirements.The ...
December 08, 2008
IRS Continues Nonqualified Plan WorkThe Internal Revenue Service has proposed rules that taxpayers could use to calculate what they owe when nonqualified deferred compensation plans violate nonqualified plan requirements.The ...
December 03, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 02, 2008
Quiz question: Regulatory jurisdictionThe Financial Industry Regulatory Authority, or FINRA, has asserted regulatory jurisdiction over settlements involving which type of policy?
December 01, 2008
A season of change awaitsIn this special section, sponsored by Allianz, we'll examine the development and the repercussions of the SEC's divisive proposal, Rule 151A, and speak with those on both sides of the issue.
December 01, 2008
The SEC's Posture On Rule 151A Is Full Of ContradictionsConflicting reports continue to trouble the fixed index annuity marketplace.