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.
Caution urged in wake of latest FINRA sweeps
By Staff WriterFINRA -- the Financial Industry Regulatory Authority -- is executing two new industry "sweeps" that suggest high standards of ethics and strict compliance are more important than ever. The first sweep, announced in Sept. 2007, is to examine
April 13, 2008
NAPFA to SEC: More consumer education neededOne of the primary roles of the Securities and Exchange Commission is to protect investors. The National Association of Personal Financial Advisors is encouraging the SEC to make disclosures easier to understand.Since 1983 NAPFA, the leading
April 13, 2008
Mutual Respect Is EssentialThirty-eight years ago I attended my first board meeting of the National Association of Life Underwriters (now the National Association of Insurance and Financial Advisors) ...
April 13, 2008
New Challenge For Small Employers From The IRS: The Impact Of 101(j)Changes that Congress made to the tax law in 2006 are having an impact on small business owners who have employer-owned life insurance on the ...
April 13, 2008
New Challenge For Small Employers From The IRS: The Impact Of 101(j)Changes that Congress made to the tax law in 2006 are having an impact on small business owners who have employer-owned life insurance on the ...
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...
April 10, 2008
Execs Eye New Military FMLA RulesBenefits and human resources managers want to know more about new federal leave provisions that will affect the relatives of military personnel.The new provisions are ...