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.
HHS Issues Final Regulation On HIPAA
By Staff WriterNU Online News Service, Dec. 29, 2004, 12:25 p.m. ESTThe Department of Health and Human Services has issued its final regulation explaining when workers ...
December 22, 2004
SEC Considers New Broker-Dealer Comp SolutionFederal securities regulators are asking for public comments about a proposal that would give broker-dealers more freedom to shift to fee-based and asset-based compensation ...
December 22, 2004
Feds Ask: When Are Broker-Dealers Advisors?NU Online News Service, Dec. 22, 2004, 10:05 a.m. ESTThe U.S. Securities and Exchange Commission is considering an issue that could affect life insurance ...
December 21, 2004
IRS Starts Interpreting New Deferred Comp LawThe Internal Revenue Service has published its first batch of guidance for taxpayers who are interested in the new Internal Revenue Code Section 409A.[@@]The ...
December 20, 2004
Two Franklin Units Settle With SECDec. 13, 2004 -- Two units of Franklin Resources (BEN) agreed to pay $20 million to settle charges that they paid brokers to promote Franklin's...
December 17, 2004
SEC Warns New England Life Of Possible SuitNU Online News Service, Dec. 17, 2004, 5:50 p.m. ESTA unit of MetLife Inc., New York, could face legal action by federal regulators.[@@]The U.S. ...
December 15, 2004
Uncle Sam Gives Accountants Peek At ReturnNU Online News Service, Dec. 15, 2004, 5:04 p.m. ESTThe Internal Revenue Service has posted a draft of the U.S. Life Insurance Company Income ...
December 14, 2004
SEC Grants AIG Units ReliefA temporary order will let the investment advisor and broker-dealer units of a large financial services company proceed with normal operations.[@@]The units, part of ...