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.
Hearing Witnesses Support Federal Role In Regulation
By Matt BradyA Treasury official said Tuesday that Congress probably will have to act to solve the regulatory problems facing the U.S. insurance industry.The proposals under review ...
July 16, 2006
SEC's Withdrawal Of 'No-Action' Letter Confuses IndustryIn the early days of variable annuities (the late 1970s and early 1980s), nontraditional salespeople began selling products previously thought to be in the exclusive ...
July 16, 2006
Sides Split On Direction Of Preferred Mortality TableWork on a draft regulation for a preferred mortality table is creating disagreement over whether the best approach is to continue with efforts to develop ...
July 16, 2006
SEC's Withdrawal Of 'No-Action' Letter Confuses IndustryIn the early days of variable annuities (the late 1970s and early 1980s), nontraditional salespeople began selling products previously thought to be in the exclusive ...
July 16, 2006
Bipartisan Support Emerging For Federal Role In Insurance RegulationAs it was preparing to hear the views of the Bush administration on the issue July 18, the Senate Banking Committee last week signaled a ...
July 16, 2006
Bipartisan Support Emerging For Federal Role In Insurance RegulationAs it was preparing to hear the views of the Bush administration on the issue July 18, the Senate Banking Committee last week signaled a ...
July 14, 2006
Company Settles Preferred Fund Program CaseThe U.S. Securities and Exchange Commission has accepted a sanctions proposal from the broker-dealer arm of a large insurance holding company.The broker-dealer, IFMG Securities Inc., ...
July 14, 2006
Company Settles Preferred Fund Program CaseThe U.S. Securities and Exchange Commission has accepted a sanctions proposal from the broker-dealer arm of a large insurance holding company.The broker-dealer, IFMG Securities Inc., ...