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.
Court Vacates SEC's Rule 151A
By Staff WriterInsurance industry opponents celebrate as federal appeals court vacates SEC Rule 151A, seeking to classify indexed annuities as securities rather than insurance products.
July 12, 2010
In Reform Bill Supervision, SEC and States Plan to Meet on Shifting AdvisorsState regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision.
July 12, 2010
Appeals Court Vacates Rule 151AA federal appeals court has sided with agents and others who want the U.S. Securities and Exchange Commission to classify indexed annuities as insurance products rather than as securities.
July 12, 2010
Financial Reform Bill Heads to FloorConforming to a fiduciary standard on the sale of investment products will be the first hurdle the industry will have to face if sweeping financial services reform legislation is passed by Congress when it returns from the Independence Day recess.
July 12, 2010
Appeals Court Vacates Rule 151AA federal appeals court has sided with agents and others who want the U.S. Securities and Exchange Commission to classify indexed annuities as insurance products rather than as securities.
July 12, 2010
The Changing Face of Financial Regulation ReformWhile critics of the omnibus financial services reform legislation that the House passed last week complain it imposes "bank-centric" regulation on insurers and agents, analysts say the impact will be manageable and there were no last-minute surprises.
July 12, 2010
The Battle of Rule 151A: The Indexed Annuity Community Takes on the SECThe fight over regulation of indexed annuities may be one of the most ferocious National Underwriter Life & Health has covered in recent years.
July 11, 2010
Financial Reform Bill Heads to FloorConforming to a fiduciary standard on the sale of investment products will be the first hurdle the industry will have to face if sweeping financial services reform legislation is passed by Congress when it returns from the Independence Day recess.