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.
Feds Publish Attained Age Regulation
By Staff WriterInsurers can assign the same life insurance policyholder different ages when determining policy mortality charges and making level-premium or cash value corridor computations.Officials at the ...
September 13, 2006
Feds Publish Attained Age RegulationInsurers can assign the same life insurance policyholder different ages when determining policy mortality charges and making level-premium or cash value corridor computations.Officials at the ...
September 10, 2006
Better The Devil You Know Than The Devil You Don'tBecause of the press of more important business and the upcoming primary elections, it appears that further consideration of an optional federal charter for insurers ...
September 03, 2006
Why Advisors Should Have Their Own Disclosure FormsIt is more than perplexing that regulators are spending an inordinate amount of time trying to find fault with fixed indexed annuities.Due to the downside ...
September 03, 2006
Why Advisors Should Have Their Own Disclosure FormsIt is more than perplexing that regulators are spending an inordinate amount of time trying to find fault with fixed indexed annuities.Due to the downside ...
September 01, 2006
Division IContemporary Financial Solutions Year founded: 2003 Producing reps: 96 Est. gross revenue (2006): $1.4 million Avg. annual gross production per rep (2005): $12,000 Ratio of reps to home office: 48 to...
September 01, 2006
Division IIINEXT Financial Group, Inc. Year founded: 1999 Producing reps: 756 Est. gross revenue (2006): $76.5 million Avg. annual gross production per rep (2005): $90,000 Ratio of reps to home office: 10.8...
September 01, 2006
News & ProductsThe SEC issued a Request for Proposals (RFP) due August 24 for phase one of a major study of how regulators' rules for investment professionals...