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.
Monopoly Game
By Kate McBrideWill broker/dealers be paying more for market data from now-public securities exchanges? Who owns the market data that is created by market makers and broker/dealers...
February 26, 2007
IRS Looks At Charity Interests In Life PoliciesThe Internal Revenue Service is setting up a system for monitoring the charity-owned life insurance market.Section 1211 of the Pension Protection Act of 2006 requires ...
February 25, 2007
GAO Says EBSA Needs Routine Exam SystemThe Employee Benefits Security Administration should examine a random sample of pension and retirement plans as well as plans that spark complaints.An official at the ...
February 25, 2007
IRS Rules On Life Policy Grantor Trust TransfersThe Internal Revenue Service has issued a batch of guidance that could affect life insurance policyholders and others who use trusts to transfer policies.The guidance, ...
February 25, 2007
IRS Rules On Life Policy Grantor Trust TransfersThe Internal Revenue Service has issued a batch of guidance that could affect life insurance policyholders and others who use trusts to transfer policies.The guidance, ...
February 22, 2007
NAIFA Skeptical About FTC Regulation Of InsuranceA provision in the new insurance industry antitrust exemption bill could expand the authority of the Federal Trade Commission.One federal law, the McCarran-Ferguson Act, now ...
February 22, 2007
NAIFA Skeptical About FTC Regulation Of InsuranceA provision in the new insurance industry antitrust exemption bill could expand the authority of the Federal Trade Commission.One federal law, the McCarran-Ferguson Act, now ...
February 20, 2007
Pension Insurer Drafts Rate RegulationsThe Pension Benefit Guaranty Corp. is starting to update the pension insurance premium structure.The agency has proposed a rule to implement pension insurance premium provisions ...