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.
IRS Completes Annuity Conversion Regs
By Staff WriterThe Internal Revenue Service has published final regulations concerning moves to convert individual retirement account annuities into Roth IRAs.Like the proposed regulations, which were issued ...
August 01, 2008
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
August 01, 2008
Wheels of Blueprint In MotionSetting in motion Treasury Secretary Henry Paulson's Blueprint for financial services reform, the Federal Reserve Board and the Securities and Exchange Commission (SEC) entered into...
August 01, 2008
GLD (Finally) Gets OptionsAfter a long four-year wait, trading of call and put options on the SPDR Gold Trust (GLD) has finally come to pass. The regulatory hurdles...
August 01, 2008
The Three Troubling ThemesAs I travel the country lecturing at investment industry conferences, conducting compliance reviews, attending enforcement proceedings, playing too little golf, and realizing that outliving one's...
July 31, 2008
FINRA cracking down on use of ghostwritten materialAre you providing clients with published information about investing that you didn't actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of
July 31, 2008
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,