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.
IRS Moves On 403(b) Plans Concern AALU And ACLI
By Matt BradyIRS Moves On 403(b) Plans Concern AALU And ACLIByWashingtonAn effort by the Internal Revenue Service to consolidate and clarify the rules governing 403(b) annuities and ...
February 02, 2005
John Hancock Investment Names Compliance ChiefNU Online News Service, Feb. 2, 2005, 3:50 p.m. ESTA U.S. unit of Manulife Financial Corp., Toronto, has attracted an executive from Fidelity Management ...
February 01, 2005
MFA to SEC: Limit Scope of Trade-Through RuleWASHINGTON (HedgeWorld.com)--The Managed Funds Association has commented on the U.S. Securities and Exchange Commission's reproposal of rules for the National Market System. Last spring, the SEC proposed a set of rules that elicited a great deal of comment. In reaction to some of the comment, the SEC revised the earlier...
February 01, 2005
The Dollar Cost of ComplianceSecurities and Exchange Commission regulations, along with legislation like Sarbanes-Oxley, the USA Patriot Act, and anti-money laundering rules, are putting a significant strain on asset...
February 01, 2005
Ire Toward The IRSThe 403(b) industry is up in arms over proposed regulations issued by the Internal Revenue Service that would essentially strip 403(b)s of their unique status...
January 31, 2005
Software Firm Rolls Out Compliance ModuleNU Online News Service, Jan. 31, 2005, 3:25 p.m. ESTEMoneyAdvisor Inc., Conshohocken, Pa., has introduced a product that can help financial advisors cope with ...
January 27, 2005
Software Company Adds COBRA ModuleNU Online News Service, Jan. 27, 2005, 3:39 p.m. ESTThe developers of the BeneTrac benefits system have introduced a new compliance tool.[@@]The BeneTrac company, ...
January 27, 2005
Insurer Warns About Regulatory ActionsNU Online News Service, Jan. 27, 2005, 9:13 a.m. ESTHartford Financial Services Inc. says it continues to face investigations by the U.S. Securities and ...