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 Proposes Treating Indexed Annuities As Securities
By Staff WriterMembers of the U.S. Securities and Exchange Commission voted 3-0 to propose a rule that would define some indexed annuities as securities.The proposal would create ...
June 27, 2008
FINRA Warns Against Selling AssetsA regulator says investors should think twice before taking out reverse mortgages, getting 401(k) plan debit cards or selling life insurance policies to cope with ...
June 27, 2008
Voss Calls For Teamwork As SEC Airs ProposalIowa Insurance Commissioner Susan Voss says she would like to have a chance to talk to members of the U.S. Securities and Exchange Commission about ...
June 27, 2008
Voss Calls For Teamwork As SEC Airs ProposalIowa Insurance Commissioner Susan Voss says she would like to have a chance to talk to members of the U.S. Securities and Exchange Commission about ...
June 26, 2008
The sky is (not) fallingWith our editor, Daniel Williams, still holding down the fort on the last day of MDRT's big conference in Toronto, let me, Associate Editor Andy Stonehouse, step in for a moment and get you up to date on today's flurry of activity
June 25, 2008
Hearings on industry regulation hit HouseEarlier this month, the House Financial Services Capital Markets Subcommittee held a hearing on legislation seeking to create a federal office for insurance regulation within the Treasury Department. The bill aims to improve financial regulation by
June 25, 2008
The sky is (not) fallingWith our editor, Daniel Williams, still holding down the fort on the last day of MDRT's big conference in Toronto, let me, Associate Editor Andy Stonehouse, step in for a moment and get you up to date on today's flurry of activity
June 25, 2008
SEC Proposes Rule on EIAs, Opens Rule 15a-6 for CommentsThe Securities and Exchange Commission issued a proposed rule June 25 that would establish the standards for determining which equity indexed annuities are not considered...