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.
Banc One Securities Fined By FINRA
By Trevor ThomasThe Financial Industry Regulatory Authority says it has fined the securities unit of a bank in connection with allegations of unsuitable sales of deferred variable ...
January 28, 2008
Executive Resumes Duties At AssurantThe board of Assurant Inc. has reinstated Robert Pollock as president of the company.Pollack had been on administrative leave since July, when the U.S. Securities ...
January 25, 2008
Senate Shift Could Affect Federal Charter EffortSenate Republicans have changed the committee assignment of a lawmaker who has helped lead efforts to create a federal insurance regulatory system.Sen. John Sununu, R-N.H., ...
January 23, 2008
Senate Panel To Review Federal Charters And ReinsuranceA key congressional leader today unveiled his 2008 agenda.Sen. Chris Dodd, D-Conn., chairman of the Senate Banking Committee, says the committee will look into the ...
January 20, 2008
IRS Asks For Comment On New VA Reserving GuidelineThe IRS has released a notice to alert life insurers to federal income tax issues that may arise out of the adoption of proposed Actuarial ...
January 20, 2008
IRS Asks For Comment On New VA Reserving GuidelineThe IRS has released a notice to alert life insurers to federal income tax issues that may arise out of the adoption of proposed Actuarial ...
January 17, 2008
Reserving Rule Watchers React To IRS NoticeThe people involved with developing a principles-based reserving system say they were happy to see the Internal Revenue Service issue a PBR notice earlier this ...
January 17, 2008
Reserving Rule Watchers React To IRS NoticeThe people involved with developing a principles-based reserving system say they were happy to see the Internal Revenue Service issue a PBR notice earlier this ...