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 Approves Easing Of FINRA Sales Lit Review Rules
By Staff WriterThe U.S. Securities and Exchange Commission has approved an effort by the Financial Industry Regulatory Authority Inc. to simplify reviews of some types of investment ...
February 17, 2008
Why FIA Producers Are Pondering Their FutureProducers in the fixed index annuity (FIA) market are increasingly asking: Should I become a Registered Investment Advisor? Will the Securities and Exchange Commission start ...
February 15, 2008
EBSA Releases Wellness Program Compliance ChecklistThe Employee Benefits Security Administration has come out with guidance aimed at sponsors of employer-sponsored health promotion and disease prevention initiatives.EBSA, an arm of the ...
February 15, 2008
SEC Proposes Form ADV ChangesThe SEC proposed amendments to Part 2 of Form ADV on February 13 which would require advisors to provide a plain English narrative brochure to clients detailing information about the advisor's business practices, including the types of advisory services they provide, fees they charge, and the risks that clients can...
February 15, 2008
SEC Asks For Comments About Serving Older InvestorsThe U.S. Securities and Exchange Commission wants members of the public to tell it how to ensure that financial services firms deal fairly with senior ...
February 15, 2008
NCOIL Leaders Continue To Fight Federal Regulation ProposalsTop officials at the National Conference of Insurance Legislators have drafted a resolution that would repeat NCOIL's opposition to the idea of creating a national ...
February 14, 2008
EBSA Releases Wellness Program Compliance ChecklistThe Employee Benefits Security Administration has come out with guidance aimed at sponsors of employer-sponsored health promotion and disease prevention initiatives.EBSA, an arm of the ...
February 13, 2008
HR Group Asks IRS For Automatic Enrollment ReliefThe Internal Revenue Service should give employers more help with complying with new retirement plan tax laws.Cara Woodson Welch, public policy director at WorldatWork, Washington, ...