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.
SEI Executive Moves To Hartford
By Staff WriterA large insurer has a new compliance chief.Hartford Financial Services Group Inc., Simsbury, Conn., has hired Thomas Jones III to be vice president of securities ...
February 08, 2006
Feds Ponder Spousal Right To Charitable Trust AssetsThe Internal Revenue Service says it needs more time to make a final decision about a conflict between state laws and the federal rules governing ...
February 07, 2006
Feds Ponder Spousal Right To Charitable Trust AssetsThe Internal Revenue Service says it needs more time to make a final decision about a conflict between state laws and the federal rules governing ...
February 06, 2006
Feds Ponder Spousal Right To Charitable Trust AssetsThe Internal Revenue Service says it needs more time to make a final decision about a conflict between state laws and the federal rules governing ...
February 06, 2006
Compliance Costs RisingGREENWICH, Conn. (HedgeWorld.com)--Now that the registration deadline has passed, the real test begins for hedge fund managers, who must comply with the new regulation regime of the Securities and Exchange Commission. Greenwich Associates interviewed 34 hedge fund managers in the U.S. and Europe late last year through early January. They...
February 05, 2006
Agent Groups Tell IRS That Section 409A Needs AddressingRepresentatives of life insurance agent groups are telling the Internal Revenue Service that it must further revise Section 409A, which deals with deferred compensation rules, ...
February 05, 2006
IRS Ruling On Trusts And Stretch IRA TreatmentIn a first-of-its-kind private ruling, the Internal Revenue Service permitted an IRA owner to benefit multiple trust beneficiaries of his IRA while retaining the ability ...
February 05, 2006
Insurance Regulation On Senate Panel's AgendaThe state of regulation and military sales practices are the two main life insurance issues the Senate Banking Committee will deal with this year, said ...