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.
State Regulator, SEC Chair Talk Annuities
By Staff WriterIowa 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 ...
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...
July 29, 2008
IRS Completes Annuity Conversion RegsThe 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 29, 2008
IRS Completes Annuity Conversion RegsThe 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 29, 2008
Dodd: Congress Could Pass OII BillSen. Christopher Dodd says Congress really could pass a federal Office of Insurance Information bill this year.H.R. 5840, a bill endorsed by the House Financial ...
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
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 ...