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.
Putting Required Minimum Distributions On The Advisor's Checklist
By Jim ConnollyFinancial advisors say is extremely important to add the following item to their client checklists for the Fall season: "make sure that clients take their required minimum distributions from qualified retirement accounts and IRAs."
August 31, 2008
Commissioners Mull Fed Insurance Office And SEC Index Annuity ProposalsWhen state insurance commissioners met in Chicago recently for their mid-summer gathering, prominent among the topics they discussed were the Office of Insurance Information proposal ...
August 31, 2008
Package On The DoorstepThe last few weeks, culminating with this week's Republican convention, have been an exciting period for couch potatoes.Specifically, there have been the Olympics, as well ...
August 29, 2008
SEC Floats Global Accounting StandardThe Securities and Exchange Commission voted August 27 to publish for public comment a proposed Roadmap that could lead to the use of International Financial Reporting Standards (IFRS) by U.S. public companies beginning in 2014.
August 28, 2008
An Insider's View: Christopher K. AbtsFor this issue of Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Christopher K. Abts of Cornerstone Retirement Group in Reno, Nev., to get his thoughts on compliance, suitability and senior protection
August 28, 2008
Getting the goods on Rule 151AThree of the foremost experts on the still-evolving SEC Rule 151A -- the proposal which could serve to turn fixed indexed annuities into a registered security -- were on hand Aug. 22 at Senior Market Advisor Expo in Orlando for what turned
August 28, 2008
An Insider's View: Christopher K. AbtsFor this issue of Market Conduct & Suitability, Senior Market Advisor editor Daniel D. Williams spoke with Christopher K. Abts of Cornerstone Retirement Group in Reno, Nev., to get his thoughts on compliance, suitability and senior protection
August 28, 2008
Labor Dept. Settles With Pa. Builders GroupThe U.S. Department of Labor has reached a settlement with a Pennsylvania trade group providing for $5 million in restitution for alleged breaches of fiduciary ...