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.
Getting the goods on Rule 151A
By Andy StonehouseThree 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 25, 2008
Compliance Staff To Get Boost: CerulliMore than 40% of asset managers plan to increase their marketing compliance staff, Cerulli Associates Inc. reports.Compliance positions are becoming increasingly high-profile as the marketplace ...
August 22, 2008
DOL Proposes 401(k) Advice RulesThe U.S. Department of Labor (DOL) announced August 20 two proposed rules under the Pension Protection Act (PPA) designed to make investment advice more accessible...
August 22, 2008
NAVA Gets New President & CEONAVA, Inc., the Association for Insured Retirement Solutions, has a new president and CEO, Catherine Weatherford. She will replace Mark Mackey, who announced his resignation...
August 22, 2008
NAIFA To Oppose SEC Annuity ProposalThe National Association of Insurance and Financial Advisors says it will fight efforts by the U.S. Securities and Exchange Commission to classify indexed annuities as ...
August 22, 2008
NAIFA To Oppose SEC Annuity ProposalThe National Association of Insurance and Financial Advisors says it will fight efforts by the U.S. Securities and Exchange Commission to classify indexed annuities as ...
August 19, 2008
IRS Collects Accounting Change RulesThe Internal Revenue Service has published a guide to getting automatic IRS consent for changes in accounting methods.The guide, given in IRS Revenue Procedure 2008-52, ...
August 19, 2008
Outgoing Ala. Commissioner Heads To Swiss ReSwiss Reinsurance Company is bringing in Alabama Insurance Commissioner Walter Bell to run Swiss Re America Holding Corp.Bell, a former president of the National Association ...