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.
Voss Calls For Teamwork As SEC Airs Proposal
By Staff WriterIowa Insurance Commissioner Susan Voss says she would like to have a chance to talk to members of the U.S. Securities and Exchange Commission about ...
June 25, 2008
Hearings on industry regulation hit HouseEarlier this month, the House Financial Services Capital Markets Subcommittee held a hearing on legislation seeking to create a federal office for insurance regulation within the Treasury Department. The bill aims to improve financial regulation by
June 25, 2008
The sky is (not) fallingWith our editor, Daniel Williams, still holding down the fort on the last day of MDRT's big conference in Toronto, let me, Associate Editor Andy Stonehouse, step in for a moment and get you up to date on today's flurry of activity
June 25, 2008
SEC Proposes Rule on EIAs, Opens Rule 15a-6 for CommentsThe Securities and Exchange Commission issued a proposed rule June 25 that would establish the standards for determining which equity indexed annuities are not considered...
June 25, 2008
IRS Answers More HSA QuestionsThe Internal Revenue Service is giving employers more advice about the nuts and bolts of running health savings account programs.The IRS has answered more than ...
June 25, 2008
IRS Answers More HSA QuestionsThe Internal Revenue Service is giving employers more advice about the nuts and bolts of running health savings account programs.The IRS has answered more than ...
June 25, 2008
SEC May Reclassify Some Indexed AnnuitiesMembers of the U.S. Securities and Exchange Commission today voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would ...
June 25, 2008
SEC May Reclassify Some Indexed AnnuitiesMembers of the U.S. Securities and Exchange Commission today voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would ...