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.
Mixed Messages and Unexpected Moves
By Christina PellettIs the SEC's offer to delay implementation of Rule 151A by a couple of years good news, or bad news?
December 11, 2009
American Equity Update on 2-Year Rule 151A DelayNick Gerhart of American Equity updates interested parties on the recent developments concerning Rule 151A and where we go from here.
December 11, 2009
House Approves Financial Reform BillThe full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173).
December 11, 2009
Financial Reform Bill Approved: House Vote Is 223-202FINRA will not have oversight of advisors associated with B/Ds, for now.
December 11, 2009
House Passes Sweeping Financial ReformsHouse lawmakers have passed the most sweeping reforms of financial services since those coming out of the Great Depression.
December 10, 2009
NAFA: We'll Keep Up The Indexed Annuity BattleThe National Association for Fixed Annuities is warning supporters against using the U.S. Securities and Exchange Commission decision to delay enforcement of Rule 151A as a reason to relax.
December 10, 2009
IRS To Nonprofit Employers: RelaxThe Internal Revenue Service is advising the nonprofit employers that have to comply with new written-plan requirements not worry about the current lack of formal compliance guidelines.
December 10, 2009
IRS To Nonprofit Employers: RelaxThe Internal Revenue Service is advising the nonprofit employers that have to comply with new written-plan requirements not worry about the current lack of formal compliance guidelines.