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.
Curious
By Richard HoeHere is a letter I wrote and e-mailed Sunday evening to Kathy Kristof, nationally syndicated columnist for the Los Angeles Times:
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 16, 2010
Senate Echoes Industry Suitability Study IdeaSenators and their staffers are reviewing a proposed draft amendment that could move the federal financial services reform package in a direction backed by the life insurance industry.
February 12, 2010
Main Street's Trust: Worth One Percent of Bonuses?Would Wall Street firms and executives dedicate 1% of their bonus pool, annually, to rekindle a national saving ethic and restore investor confidence?
February 07, 2010
TIAA-CREF: New 403(b) Rules Test SponsorsMany 403(b) retirement plan sponsors admit they do not understanding fully the new federal compliance requirements.
February 05, 2010
VA Company Asks Court to Toss 151AAn issuer of equity-indexed annuities advised an appeals court to vacate a regulation that the Securities and Exchange Commission wants to use to oversee equity-indexed annuities as securities.
February 05, 2010
VA Company Asks Court to Toss 151AAn issuer of equity-indexed annuities advised an appeals court to vacate a regulation that the Securities and Exchange Commission wants to use to oversee equity-indexed annuities as securities.
February 02, 2010
EBSA, IRS Seek Lifetime Income IdeasFederal agencies are asking for advice about using annuities and other lifetime income arrangements in retirement plans - and in qualified default investment alternatives.