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.
NAFA: We'll Keep Up The Indexed Annuity Battle
By Allison BellThe 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
Houses Passes H.R. 4173 Advisor Amendment; Adopts Manager's Amendment Full Of Interesting ProvisionsHouse members today agreed by a voice vote to keep the Financial Industry Regulatory Authority from regulating investment advisors that are associated with broker-dealers.
December 09, 2009
SEC Offers To Delay 151A ImplementationThe U.S. Securities and Exchange Commission now plans to provide a full 2-year implementation period for federal regulation of equity-indexed annuities under Rule 151A.
December 09, 2009
Houses Passes H.R. 4173 Advisor Amendment; Adopts Manager's Amendment Full Of Interesting ProvisionsHouse members today agreed by a voice vote to keep the Financial Industry Regulatory Authority from regulating investment advisors that are associated with broker-dealers.
December 09, 2009
SEC Offers To Delay 151A ImplementationThe U.S. Securities and Exchange Commission now plans to provide a full 2-year implementation period for federal regulation of equity-indexed annuities under Rule 151A.
December 09, 2009
FINRA Unveils Variable Insurance Communications DraftThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.
December 08, 2009
FINRA Unveils Variable Insurance Communications DraftThe Financial Industry Regulatory Authority has drafted an update of the rules that govern FINRA members' communications with the public about variable life and variable annuity products.