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.
The great SEC debate
By Daniel WilliamsAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
August 01, 2008
GLD (Finally) Gets OptionsAfter a long four-year wait, trading of call and put options on the SPDR Gold Trust (GLD) has finally come to pass. The regulatory hurdles...
August 01, 2008
The Three Troubling ThemesAs I travel the country lecturing at investment industry conferences, conducting compliance reviews, attending enforcement proceedings, playing too little golf, and realizing that outliving one's...
July 31, 2008
FINRA cracking down on use of ghostwritten materialAre 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
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
July 31, 2008
Regs Affect Trust SplitsThe Internal Revenue Service has released a final version of regulations that explain how taxpayers and their advisors should handle efforts to split generation-skipping trusts.The ...
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 ...