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.
IRS Completes Annuity Conversion Regs
By Staff WriterThe 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 ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 27, 2008
DOL Proposes Simplified Disclosure For 401(k) Investment OptionsThe Department of Labor has released proposed regulations aimed at providing workers with a simplified comparison of investment options for 401(k) and other employee retirement ...
July 27, 2008
Index Annuity Executive: SEC Attention 'No Surprise'The head of a major index annuity manufacturer says regulators have been hinting for years that they were going to turn their attention to index ...
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...
July 27, 2008
Yet Another FINRA Proposal Stirs Up Annuity IndustryThe Financial Industry Regulatory Authority, Washington, D.C., is attempting to expand oversight of the securities marketing industry with an initiative that would require broker-dealers not ...
July 23, 2008
Screwed by the SEC - Your reactionsNever thought the word "naked" would be so loaded. Had quite a bit of reaction to last week's post on short selling. Call it lost...
July 23, 2008
Senate Panel Schedules Regulatory HearingThe Senate Banking Committee plans to hold a long-awaited hearing on insurance regulatory issues Tuesday.Industry lobbyists said they have not seen a witness list and ...