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.
SEC Fines Fund Administrator
By Staff WriterA company that sells support services to insurers and other financial services companies has agreed to pay $21.4 million to settle an investigation by the ...
September 13, 2006
Feds Publish Attained Age RegulationInsurers can assign the same life insurance policyholder different ages when determining policy mortality charges and making level-premium or cash value corridor computations.Officials at the ...
September 13, 2006
House To Get Federal Regulation BillRep. Edward Royce, R-Calif., says he will be introducing a House bill that will resemble the Senate's "optional federal charter" bill sometime this fall.Like S. ...
September 13, 2006
House To Get Federal Regulation BillRep. Edward Royce, R-Calif., says he will be introducing a House bill that will resemble the Senate's "optional federal charter" bill sometime this fall.Like S. ...
September 13, 2006
Feds Publish Attained Age RegulationInsurers can assign the same life insurance policyholder different ages when determining policy mortality charges and making level-premium or cash value corridor computations.Officials at the ...
September 10, 2006
Better The Devil You Know Than The Devil You Don'tBecause of the press of more important business and the upcoming primary elections, it appears that further consideration of an optional federal charter for insurers ...
September 03, 2006
Why Advisors Should Have Their Own Disclosure FormsIt is more than perplexing that regulators are spending an inordinate amount of time trying to find fault with fixed indexed annuities.Due to the downside ...
September 03, 2006
Why Advisors Should Have Their Own Disclosure FormsIt is more than perplexing that regulators are spending an inordinate amount of time trying to find fault with fixed indexed annuities.Due to the downside ...