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.
IRS Creates COLI Safe Harbor For Insurers
By Staff WriterThe Internal Revenue Service has come out with guidelines to help insurers apply insurance company proration rules to corporate-owned life insurance.The guidelines, given in IRS ...
September 10, 2007
SEC Acts Against AdvisorThe U.S. Securities and Exchange Commission is accusing an investment advisor of using free lunches to persuade older consumers to shift money from existing investments ...
September 10, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 09, 2007
Current Implications For The New Section 403(b) RegsThe final regulations under section 403(b) dramatically change the landscape for employers, providers and participants under section 403(b) plans.Though generally effective beginning Jan. 1, 2009, ...
September 09, 2007
Current Implications For The New Section 403(b) RegsThe final regulations under section 403(b) dramatically change the landscape for employers, providers and participants under section 403(b) plans.Though generally effective beginning Jan. 1, 2009, ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 06, 2007
FINRA Fines Firm Over Fee-Based AccountsThe Financial Institutions Regulatory Authority says a member firm should have been more careful to ensure that customers enrolled in a fee-based brokerage account program ...