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.
Seismic Shift
By Melanie WaddellTreasury Secretary Henry Paulson's Blueprint for a massive overhaul of the financial services regulatory structure, which he unveiled March 31, is already sparking much debate...
April 30, 2008
IRS Allows IRA Stimulus Payment WithdrawalsThe Internal Revenue Service is trying to remove a regulatory hurdle that could keep some U.S. workers from spending the economic stimulus payments they are ...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 27, 2008
FINRA Puts Parts Of Sales Rule For VAs On HoldThe Financial Industry Regulatory Authority has delayed indefinitely implementation of parts of its new rule governing sale of variable annuities by brokers because it plans ...
April 25, 2008
IRS Drafts Guidance On Estate Valuation AlternativeThe Internal Revenue Service is writing a rule about how executors should calculate the value of taxable estates.The IRS has proposed a draft of the ...
April 25, 2008
IRS Drafts Guidance On Estate Valuation AlternativeThe Internal Revenue Service is writing a rule about how executors should calculate the value of taxable estates.The IRS has proposed a draft of the ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...
April 24, 2008
FINRA Issues Catastrophe Bond Risk AlertThe Financial Industry Regulatory Authority is advising consumers to look to see whether their mutual funds or other funds have invested in bonds linked to ...