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 Accepts Viatical Firm Settlement
By Staff WriterFederal regulators say they have agreed to accept a $25 million settlement offer from the former principals of a failed life settlement firm.[@@]The U.S. ...
November 16, 2005
The CRT Ta TrapDanger LurkingCharitable remainder trusts are a valuable method to create a charitable gift. They usually provide the donor with an income stream, for life or ...
November 14, 2005
Jackson National Unit Names Compliance ChiefsNational Planning Holdings Inc. has announced 2 changes at its compliance operations.[@@]National Planning, Santa Monica, Calif., a broker-dealer unit of Jackson National Life Insurance ...
November 14, 2005
More Hedge Fund Regulation ForeseenAt least one lawyer with experience in the industry predicts that new regulatory and enforcement initiatives are coming, whether at the level of the states or from federal agencies.
November 11, 2005
GAO%3A IRS Has Serious Internal Controls ProblemsLife company executives embarrassed about internal controls problems have company in Washington: The U.S. Government Accountablity Office says the Internal Revenue Service has serious ...
November 09, 2005
The Best And Worst All In OneThere was a Hollywood movie star who said: "I don't care what you say about me, just spell my name right."Indexed annuities may not ...
November 09, 2005
Industry Groups Sue California Department Over Underground DI RegulationsWashingtonThe life and health insurance industry asked a state court in California on Nov. 30 to stop the state insurance department from enforcing "underground ...
November 06, 2005
409A Is The Law...Now What?In the world of nonqualified deferred compensation, there's a new sheriff in town named 409A. It took a while for this law to make itself ...