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.
Catching up with...
By Melanie WaddellWith 20 years of investment management experience under his belt, Tom Grzymala is on a mission to see that "the full meaning and spirit of...
September 30, 2006
Don't Let Clients Stumble Over ERISA LiabilityTo their surprise and dismay, some employers have learned that their voluntary benefit programs are ERISA programs, subject to all of the same requirements and liabilities...
September 29, 2006
SEC Revises Intermediary RulesThe Securities and Exchange Commission is giving financial services companies more time to comply with some parts of a new market-timing prevention rule.The SEC has ...
September 29, 2006
New SEC Research Tool for Public CompaniesThe Securities and Exchange Commission has decided to replace its antiquated public company disclosure system called EDGAR, which uses a form-based electronic filing cabinet, with a real-time search tool with interactive capabilities.
September 28, 2006
SEC Fines Fund AdministratorA company that sells support services to insurers and other financial services companies has agreed to pay $21.4 million to settle an investigation by the ...
September 28, 2006
House Gets Federal Regulation BillA California lawmaker has introduced the House version of an "optional federal charter" bill that is already in play in the Senate.Rep. Ed Royce, R-Calif., ...
September 28, 2006
House Gets Federal Regulation BillA California lawmaker has introduced the House version of an "optional federal charter" bill that is already in play in the Senate.Rep. Ed Royce, R-Calif., ...
September 13, 2006
Feds Publish Attained Age RegulationInsurers can assign the same life insurance policyholder different ages when determining policy mortality charges and making level-premium or cash value corridor computations.Officials at the ...