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.
151A update - Do you know what's happening?
By Daniel WilliamsAny discussion of regulatory issues surrounding fixed index annuities usually starts and ends with Rule 151A--in particular, whether the SEC ultimately will decide FIAs are securities.
May 26, 2010
FINRA Head Calls For Scrutiny Of "Wealth Event" SalesFinancial services company supervisors should look carefully at sales involving money that came from an inheritance or a retirement plan cashout, according Financial Industry Regulatory Authority Chairman Richard Ketchum.
May 26, 2010
SEC Proposes Consolidated Audit Trail, Clears New Municipal Securities RulesThe Securities and Exchange Commission (SEC) on Wednesday, May 26, proposed a new rule in reaction to the May 6 market plunge requiring self-regulatory organizations (SROs) to establish a consolidated audit trail system.
May 25, 2010
Producers, Employers Pan Jobs Bill ProvisionsInsurance industry and benefits groups are trying to change a retirement plan fee disclosure section now in H.R. 4213.
May 25, 2010
IRS Sets HSA AmountsThe Internal Revenue Service has left the 2011 health savings account "indexed amounts" unchanged.
May 25, 2010
IRS Sets HSA AmountsThe Internal Revenue Service has left the 2011 health savings account "indexed amounts" unchanged.
May 24, 2010
California Agency Proposes Settlement RulesThe California Department of Insurance is rushing to implement a new life settlement law.
May 24, 2010
California Agency Proposes Settlement RulesThe California Department of Insurance is rushing to implement a new life settlement law.