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.
Know Your Client
By Bill MillerOne of the great joys of being a financial advisor is the opportunity it provides to develop a close relationship with your broker-dealer's compliance department....
February 26, 2008
FINRA Posts VA WebcastThe Financial Industry Regulatory Authority has developed an 8-minute-long video presentation on supervision requirements for deferred variable annuity recommendations.Visitors need Macromedia Flash 8.0 to watch ...
February 24, 2008
Industry Groups Pan DOL's Proposed Disclosure RegulationsProposed regulations to enhance disclosures to beneficiaries of retirement and other benefit plans have drawn criticism from agents, brokers and the plans themselves as being ...
February 24, 2008
Industry Groups Pan DOL's Proposed Disclosure RegulationsProposed regulations to enhance disclosures to beneficiaries of retirement and other benefit plans have drawn criticism from agents, brokers and the plans themselves as being ...
February 17, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 17, 2008
SEC Approves Easing Of FINRA Sales Lit Review RulesThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 17, 2008
Why FIA Producers Are Pondering Their FutureProducers in the fixed index annuity (FIA) market are increasingly asking: Should I become a Registered Investment Advisor? Will the Securities and Exchange Commission start ...
February 17, 2008
Why FIA Producers Are Pondering Their FutureProducers in the fixed index annuity (FIA) market are increasingly asking: Should I become a Registered Investment Advisor? Will the Securities and Exchange Commission start ...