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.
What Troubles Investors
By Kara P. StapletonAmerican investors have significant anxiety about the security of their investments, particularly as it relates to their retirement savings, according to a new FINRA report....
October 01, 2007
SEC Revising Its Exam HotlineThe government accountability Office (GAO) is advising the SEC to relocate its hotline that allows advisors to lodge complaints about an exam to an independent...
October 01, 2007
Helping the Most Vulnerable RetireesLawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors--the...
October 01, 2007
Making Compliance HeadwayFour years since the passage of the SEC's "compliance program rule"--requiring registered investment advisors to adopt and implement compliance policies and procedures, appoint a chief...
October 01, 2007
Difference of OpinionKnut Rostad is the compliance officer for Rembert Pendleton Jackson, an independent advisory firm in Falls Church, Virginia, with $700 million in AUM. Over the...
September 27, 2007
IRS Cancels VA RulingThe Internal Revenue Service has decided to rescind recent advice it gave concerning variable annuity separate account reserve accounting.The IRS is suspending IRS Revenue Ruling ...
September 27, 2007
FINRA Settles with Morgan StanleyMorgan Stanley & Co. will pay the Financial Industry Regulatory authority (FINRA) a total of $12.5 million on behalf of its "former affiliate" Morgan Stanley Dean Witter, (MSDW)according to a FINRA statement.
September 26, 2007
IRS Cancels VA RulingThe Internal Revenue Service has decided to rescind recent advice it gave concerning variable annuity separate account reserve accounting.The IRS is suspending IRS Revenue Ruling ...