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.
90-24 Transfers, Then and Now
By Staff WriterHere's a rundown of what's allowable under 90-24 transfers under the new 403(b) regulations as explained by Jamie Ohl, VP for The Hartford's Retirement Plans...
December 01, 2007
Use Them, but CarefullyIn my previous column for Investment Advisor (November 2007), we addressed some of the "Confusion and Misinformation" that exists regarding the use of hedge clauses...
November 30, 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
November 30, 2007
IRS Publishes Plan Qualification Change ListThe Internal Revenue Service has released a document that could help retirement plan administrators keep up with regulatory changes.The document, Notice 2007-94, provides the 2007 ...
November 30, 2007
IRS Publishes Plan Qualification Change ListThe Internal Revenue Service has released a document that could help retirement plan administrators keep up with regulatory changes.The document, Notice 2007-94, provides the 2007 ...
November 27, 2007
IRS Releases Model Language For School PlansThe Internal Revenue Service has issued guidance that could help administrators of school Section 403(b) tax-sheltered annuity plans comply with new federal regulations.The guidance, given ...
November 20, 2007
FINRA Posts Suitability PodcastThe Financial Industry Regulatory Authority has developed a Web program aimed at sales representatives who work with older customers.FINRA, Washington, has posted a free podcast ...
November 20, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Arbor Court Capital L.L.C. permission to conduct business as a broker-dealer in the secondary life insurance market.FINRA, Washington, ...