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.
ACLI To DOL: Include Guaranteed Products For Automatic Enrollment
By Matt BradyThe American Council of Life Insurers is asking the Department of Labor to include guaranteed insurance products among those that could be used for automatic ...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 09, 2006
IRS Revises LimitsThe Internal Revenue Service has released a list of inflation-adjusted deduction limits and eligibility limits for 2007.One section of the list, published as Revenue Procedure ...
November 09, 2006
IRS Revises LimitsThe Internal Revenue Service has released a list of inflation-adjusted deduction limits and eligibility limits for 2007.One section of the list, published as Revenue Procedure ...
November 07, 2006
Services Company Offers To Pay SEC $25 MillionA financial services industry support company may be close to ironing out its differences with the U.S. Securities and Exchange Commission.BISYS Group Inc., Roseland, N.J., ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 03, 2006
SEC Eyes VA, EIA Marketing MaterialsInvestigators participating in a nationwide sweep appear to be finding specific problems with the methods used to sell annuities to senior citizens and pre-retirees.Mary Ann ...