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.
Utah 529 Plan Settles With SEC
By Trevor ThomasUtah's 529 college savings plan has agreed to settle charges it misled investors about the disposition of funds earmarked for college savings accounts.[@@]The U.S. ...
August 03, 2005
SEC Asked For More Time On Variable Product RulesNew broker rules prompted the requestwashington bureau chiefThe insurance and securities industries have asked the Securities and Exchange Commission for a "reasonable extension" of ...
August 01, 2005
When Examination Day Arrives . . .When going through a regulatory examination, RIAs should be prepared to take these steps before, during, and after the process: Conduct an entrance interview...
August 01, 2005
Come Right InWith the advent of SEC rule 206(4)-7 requiring SEC registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business,...
July 31, 2005
A Sleeping Dog No MoreA lot of industry people are asking: Why did the Securities and Exchange Commission issue its June 25, 2008, proposal to regulate fixed index annuities ...
July 31, 2005
Government MathCall me a nerd, but I loved mathematics in high school. Geometry, trigonometry, algebra, calculus, you name it and whatever branch of math it was ...
July 31, 2005
A Sleeping Dog No MoreA lot of industry people are asking: Why did the Securities and Exchange Commission issue its June 25, 2008, proposal to regulate fixed index annuities ...
July 28, 2005
IRS Rejects Profit-Sharing Health AccountsFederal officials are stopping efforts to put tax-exempt medical reimbursement accounts in 401(a) profit-sharing plans.[@@]Employers can put MRAs in 401(a) plans, but those employers ...