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.
New CFTC Members Speak to Futures
By Staff WriterAs Congress continues its work to reauthorize the Commodity Futures Trading Commission, the two newest members of the commission said they hope the renewal legislation achieves more regulatory clarity for the trading of securities futures products, along with a more explicit mandate to curb fraud in the over-the-counter foreign exchange...
March 23, 2005
New RMD Rules Will Challenge VA InsurersBy Timothy C. Pfeifer and Susan J. SellA new Internal Revenue Service regulation will impact calculations of required minimum distributions (RMDs) from variable annuity contracts ...
March 16, 2005
IRS Completes Charitable Remainder Trust ChangeNU Online News Service, March 16, 2005, 4:35 p.m. ESTFederal officials have released regulations that could affect advisors in the wealth planning and estate ...
March 14, 2005
SEC Asks Phoenix For Market-Timing AnalysisA Hartford insurer says federal regulators are asking for information about whether market timing might have affected its customers.[@@]The company, Phoenix Companies Inc., says ...
March 02, 2005
IRS Sets Out Worker Roth RulesFederal tax regulators have proposed regulations that could help workers avoid having to pay taxes on future retirement plan distributions.[@@]The proposed rule, "Designated Roth ...
February 28, 2005
IRS Narrows Variable Investment Options (Updated)Federal officials have completed regulations that could limit insurers' ability to wrap hedge funds and other "nonregistered" investments in annuity contracts and life insurance ...
February 25, 2005
PBGC Proposes Rules For Facility ClosingsNU Online News Service, Feb. 25, 2005, 4:08 p.m. ESTThe federal pension insurance agency wants to standardize the rules that apply when an employer ...