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.
GLD (Finally) Gets Options
By Staff WriterAfter a long four-year wait, trading of call and put options on the SPDR Gold Trust (GLD) has finally come to pass. The regulatory hurdles...
July 31, 2008
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,
July 31, 2008
Regs Affect Trust SplitsThe Internal Revenue Service has released a final version of regulations that explain how taxpayers and their advisors should handle efforts to split generation-skipping trusts.The ...
July 31, 2008
IRS Completes Pension Mortality Table RegsThe Internal Revenue Service has completed work on tables that will affect sponsors and administrators of pension plans.The IRS published the tables in final regulations, ...
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 31, 2008
State Regulator, SEC Chair Talk AnnuitiesIowa Insurance Commissioner Susan Voss says she recently had a "good meeting" concerning indexed annuities with U.S. Securities and Exchange Commission Chairman Christopher Cox.But Voss ...
July 30, 2008
SEC extends short selling ruleIn an effort to stop abusive short selling tactics at 19 major financial firms, the Securities and Exchange Commission extended an emergency rule to Aug....
July 30, 2008
SEC To Work With LaborThe staffs of the U.S. Securities and Exchange Commission and the Employee Benefits Security Administration will be joining in an effort to improve retirement plan ...