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.
NEWS & PRODUCTS, JULY 2007
By Staff WriterMarcia Martin was named senior vice president, operations and partner support, at Cambridge Investment Research. Martin, who joined Cambridge in January 2005, assumes oversight for...
June 30, 2008
IRS Rules On State Reserve ConflictsWhen a life insurer is deducting changes in reserves from federal taxable income, it can use the highest reserve amount required by any state in ...
June 30, 2008
IRS Rules On State Reserve ConflictsWhen a life insurer is deducting changes in reserves from federal taxable income, it can use the highest reserve amount required by any state in ...
June 29, 2008
SEC Proposes Treating Indexed Annuities As SecuritiesMembers of the U.S. Securities and Exchange Commission voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would create ...
June 29, 2008
SEC Proposes Treating Indexed Annuities As SecuritiesMembers of the U.S. Securities and Exchange Commission voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would create ...
June 27, 2008
IRS Schedules Multiemployer Plan HearingThe Internal Revenue Service will meet at 10 a.m. July 16 to hear public comments on proposed changes to the rules governing multiemployer pension plans ...
June 27, 2008
FINRA Warns Against Selling AssetsA regulator says investors should think twice before taking out reverse mortgages, getting 401(k) plan debit cards or selling life insurance policies to cope with ...
June 27, 2008
FINRA Warns Against Selling AssetsA regulator says investors should think twice before taking out reverse mortgages, getting 401(k) plan debit cards or selling life insurance policies to cope with ...