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.
Business Group Backs Federal Regulation Option
By Matt BradyThe Business Roundtable is asking congressional committee leaders to give insurers the option of choosing between state and federal regulation."Our current state-based insurance regulatory structure ...
December 06, 2007
SEC Sues In Connection With Annuity Lead SalesThe U.S. Securities and Exchange Commission has accused a former stockbroker of selling confidential information about annuity customers without getting the customers' permission.The SEC has ...
December 04, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 04, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 04, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 03, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 01, 2007
Inside the senate chambersAnd just what was the prevailing opinion on suitability and credentials, something which precipitated this fall's entire season of self-reflection? SEC Chair Christopher Cox's own presentation to the Senate committee offered some
December 01, 2007
IRS Eyes Insurance SecuritizationThe IRS has begun to scrutinize life insurance securitizations. The law firm of Sidley Austin in New York reports in its latest newsletter that Diane...