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.
SEC Drafts Credit Rating Agency Rules
By Staff WriterThe U.S. Securities and Exchange Commission says it will be trying to make the credit rating process easier to understand and monitor.The SEC will be ...
June 10, 2008
SEC Seeks Comments On VA Rule DraftThe U.S. Securities and Exchange Commission is reviewing a request by the Financial Industry Regulatory Authority to change variable annuity marketing rules.The SEC today published ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 10, 2008
FINRA To Annuity Firms: We Are Watching YouThe Financial Industry Regulatory Authority is watching carefully to see how marketers go about selling variable annuities.Susan Merrill, chief of enforcement at FINRA, Washington, delivered ...
June 06, 2008
Lawmakers Advance Federal Regulation EffortsThe House Financial Services Committee Capital Markets Subcommittee will hold a hearing Tuesday on a bill that could create an insurance information office within the ...
June 06, 2008
Lawmakers Advance Federal Regulation EffortsThe House Financial Services Committee Capital Markets Subcommittee will hold a hearing Tuesday on a bill that could create an insurance information office within the ...
June 04, 2008
IRS Issues IRA-To-HSA Transfer RulesHolders of individual retirement accounts can shift some cash into health savings accounts without paying income taxes or penalties on the distributions.Officials at the Internal ...
June 04, 2008
IRS Issues IRA-To-HSA Transfer RulesHolders of individual retirement accounts can shift some cash into health savings accounts without paying income taxes or penalties on the distributions.Officials at the Internal ...