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.
SEC To Webcast Mark-To-Market Roundtable
By Staff WriterThe U.S. Securities and Exchange Commission plans to hold a panel discussion on controversial accounting rules at 9:30 a.m. EST Friday.The participants in the discussion, ...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...
November 16, 2008
IRS Publishes Final COLI RegsThe Internal Revenue Service has published a final version of rules that will help employers comply with federal corporate-owned life insurance reporting requirements.The final regulations ...
November 16, 2008
IRS Publishes Final COLI RegsThe Internal Revenue Service has published a final version of rules that will help employers comply with federal corporate-owned life insurance reporting requirements.The final regulations ...
November 16, 2008
Broker, Agent Comp Concerns FINRA In Variable Life Settlement DealsAgents and brokers conducting life settlements involving variable products may find themselves facing questions over their compensation, according to a FINRA official.The Financial Industry Regulatory ...
November 14, 2008
A Qualified Yes to Hedge Fund RegulationIn testimony before Congress November 13, five hedge fund managers--each of whom made at least $1 billion last year
November 14, 2008
Hartford Applies For Thrift CharterHartford Financial Services Inc. says it has applied for permission to become a savings and loan holding company, clearing the way for it to participate ...
November 13, 2008
IRS Offers Union Plan Extension AdviceThe Internal Revenue Service has published rules for union pension plans that want to spread out the burden of pension funding adjustments over 5 to ...