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.
Breaking news: SEC approves Ruling 151A
By Andy StonehouseDec. 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 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.
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 09, 2008
SEC Provides More Transparency on Municipal SecuritiesThe Securities and Exchange Commission has now made it easier for investors in municipal securities to get free and convenient information about municipal bonds via the Internet.