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.
NAPFA to SEC: More consumer education needed
By staff WriterOne of the primary roles of the Securities and Exchange Commission is to protect investors. The National Association of Personal Financial Advisors is encouraging the SEC to make disclosures easier to understand.Since 1983 NAPFA, the leading
April 13, 2008
New Challenge For Small Employers From The IRS: The Impact Of 101(j)Changes that Congress made to the tax law in 2006 are having an impact on small business owners who have employer-owned life insurance on the ...
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...
April 10, 2008
Execs Eye New Military FMLA RulesBenefits and human resources managers want to know more about new federal leave provisions that will affect the relatives of military personnel.The new provisions are ...
April 10, 2008
Insurer Posts Aid For Nonprofit Plan SponsorsPrincipal Financial Group Inc. has developed a Web-based tool to help administrators of 403(b) retirement plans cope with major changes in federal regulations.The tool can ...
April 08, 2008
Regulators Defend The Current SystemInsurance commissioners responded to the question, "Is state insurance regulation working?", here at a packed conference organized by the New York City Bar Association.The seminar ...
April 08, 2008
Regulators Defend The Current SystemInsurance commissioners responded to the question, "Is state insurance regulation working?", here at a packed conference organized by the New York City Bar Association.The seminar ...