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.
Using Insurance to Help Wealthy Clients 'Disinherit the IRS'
By Jane Wollman RusoffBeverly Hills advisor Matthew Celenza tells ThinkAdvisor about his insurance-focused approach, which he's rolling out to other RIAs.
August 12, 2019
Fee-Based Annuities Get IRS NodIn a private letter ruling, IRS said advisory fees could be paid out of annuities without being taxed.
August 12, 2019
FINRA Seeks Feedback on Senior Protection RulesFINRA is seeking feedback on several matters, including the ability to place a hold on a client's account when exploitation is suspected.
August 12, 2019
IRS Rules for Nationwide and Lincoln on Annuity Advisory FeesThe rulings could help insurers pay the investment advisers directly, without changing the contract holders' tax bills.
August 09, 2019
Scalia, Trump's Pick for DOL Chief, Likely to Abstain From Fiduciary RulemakingEugene Scalia represented the brokerage industry in successfully fighting Labor's previous fiduciary rule in court.
August 09, 2019
SEC Lets Symetra Put Insurance-Style Financial Statements in Annuity FilingsThe new letter ruling continues an SEC shift that could make annuities cheaper for issuers to administer.
August 09, 2019
The SEC Investment Adviser Standard of Conduct: A BreakdownThis is the second in a series of columns summarizing the SEC's new conduct standards.
August 09, 2019
IRS Posts Tax Help for Life InsurersRevenue Procedure 2019-34 will help insurers account for how they pay you.