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.
FINRA Puts Insurance On Meeting Agenda
By Staff WriterThe 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
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 ...
April 06, 2008
Big Changes In Store For 403(b) Plans Come 2009Participants enrolled in 403(b) plans can expect big changes next year, many of them for the better. That's because on Jan. 1, 2009 new rules ...
April 06, 2008
IRS Allows Split-Dollar Modifications But Questions PersistA new IRS ruling, Notice 2008-42, lets businesses modify split-dollar arrangements without causing a loss of grandfathered treatment under Sections 101(j) and 264(f) of the ...
April 04, 2008
CFA Suggests Debating Mandatory Federal ChartersThe Consumer Federation of America is asking why the U.S. Treasury Department is not pushing to replace the entire state-based insurance regulatory system with a ...
April 03, 2008
Maine Senator Comes Out Against OFC ConceptA New England Republican lawmaker who once served as an insurance regulator says she is against the idea of letting insurers and producers choose between ...