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.
Boomers control more than $13 trillion in household assets
By Staff WriterThe Securities and Exchange Commission has just released some whopping numbers: baby boomers today control more than $13 trillion in household investable assets, accounting for...
October 06, 2008
Rescue package means more oversight in 2009Complex derivatives and hedge funds could face federal supervision for the first time, and heavily regulated sectors, such as banking and insurance, are likely to...
October 05, 2008
IRS Eases Limit On 409A Letter RulingsThe Internal Revenue Service says it will resume providing private letter rulings for some types of compensation plans covered by Section 409A of the Internal ...
October 05, 2008
IRS Eases Limit On 409A Letter RulingsThe Internal Revenue Service says it will resume providing private letter rulings for some types of compensation plans covered by Section 409A of the Internal ...
October 05, 2008
Be Warned: Federal Regulation Is ComingFair warning. Despite the spirited and well-organized defense of state insurance regulation conducted in recent weeks by officials of the National Association of Insurance Commissioners ...
October 05, 2008
Be Warned: Federal Regulation Is ComingFair warning. Despite the spirited and well-organized defense of state insurance regulation conducted in recent weeks by officials of the National Association of Insurance Commissioners ...
October 01, 2008
FINRA -- A new rule every three daysSince the advent of NASD 05-50, several agents have asked me if they should become FINRA-registered representatives. If your goal is to work as a registered rep and broaden the number of financial arrows in your quiver, then my answer is yes. But if
October 01, 2008
Weathering the stormThis year's Senior Market Advisor Expo in Orlando will go down in the record books as the show that survived a major weather event but still managed to go on strong -- a story of survival and endurance that echoed the sentiments of the