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.
FINRA cracking down on use of ghostwritten material
By staff WriterAre you providing clients with published information about investing that you didn't actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of
July 31, 2008
IRS Completes Pension Mortality Table RegsThe Internal Revenue Service has completed work on tables that will affect sponsors and administrators of pension plans.The IRS published the tables in final regulations, ...
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 30, 2008
SEC extends short selling ruleIn an effort to stop abusive short selling tactics at 19 major financial firms, the Securities and Exchange Commission extended an emergency rule to Aug....
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 29, 2008
IRS Completes Annuity Conversion RegsThe Internal Revenue Service has published final regulations concerning moves to convert individual retirement account annuities into Roth IRAs.Like the proposed regulations, which were issued ...