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.
New Tax Lot Accounting
By Melanie WaddellGetting on top of the tax lot requirements put forth by the Internal Revenue Service (IRS), which was rolled into the $700 billion bailout legislation,...
December 25, 2008
SEC to investigate ... SECThe U.S. Securities and Exchange Commission is in an unenviable position of late. Between dropping the ball on the Bernie Madoff scheme, and failing to pick up on the danger Wall Street's biggest banks were in, the Commission is struggling to
December 22, 2008
SEC slow to catch up on fraud?"As financial markets have grown increasingly complicated -- which was the case with this part of Madoff's operation -- the SEC has struggled to keep...
December 22, 2008
AALU: SEC Rule 151A Could Affect Some Life ProductsThe new Securities and Exchange Commission rule subjecting equity indexed annuities to federal oversight appears to apply only to annuities, but it also could affect indexed life products, says the Association for Advanced Life Underwriting.
December 21, 2008
AALU: SEC Rule 151A Could Affect Some Life ProductsThe new Securities and Exchange Commission rule subjecting equity indexed annuities to federal oversight appears to apply only to annuities, but it also could affect indexed life products, says the Association for Advanced Life Underwriting.
December 18, 2008
SEC Counsel Confident About Annuity MoveBrian Cartwright, the general counsel of the U.S. Securities and Exchange Commission, says he is "very confident" about the strength of the SEC's position on its ability to regulate indexed annuities.
December 18, 2008
Mary Schapiro to Head SECThe Securities and Exchange Commission (SEC) is getting its first woman chair.
December 17, 2008
151A Update: SEC posts transcript, video of today's hearingDec. 17, 2008 - U.S. Securities and Exchange Commission members today offered their overwhelming support to controversial Rule 151A, a move which will significantly change the way that many of those in the financial services industry make