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.
SEC May Move Against Fremont Funds
By Staff WriterMarch 4, 2004 -- The Securities and Exchange Commission has told the investment adviser to the Fremont Funds that it plans to recommend that civil...
March 03, 2004
Jefferson Pilot: Split-Dollar Policies Meet Tax RulesNU Online News Service, March 3, 2004, 3:10 p.m. EST -- Jefferson Pilot Financial says its LifeComp series of split-dollar life policies offers several ...
February 27, 2004
Actuaries Ask IRS To Leave Out Worker CollarsNU Online News Service, Feb. 27, 2004, 5:57 p.m. EST -- An actuarial group says employers would have a hard time using factors such ...
February 26, 2004
Study: Private Health Coverage Costs IRS $188 BillionNU Online News Service, Feb. 26, 2004, 2:23 p.m. EST -- Supporting the private health insurance market will cost the federal government about $188 ...
February 26, 2004
Commissioners Fight New NAIFA PolicyNU Online News Service, Feb. 26, 2004, 11:28 a.m. EST, Washington -- Some insurance commissioners hope the National Association of Insurance and Financial Advisors ...
February 26, 2004
NAIC Group Trying To Get NAIFA To Back Off Stance On Federal RoleWashingtonA group of state insurance commissioners is trying to force the National Association of Insurance and Financial Advisors to reconsider its recently adopted policy supporting ...
February 25, 2004
IRS Describes 3 Top-Heavy 401(k) PlansNU Online News Service, Feb. 25, 2004, 6:14 p.m. EST -- Employers that take some 401(k) contributions back from employees who leave early could ...
February 24, 2004
IRS Speaks On Plan Funding Waiver RequestsNU Online News Service, Feb. 24, 2004, 6:07 p.m. EST -- The Internal Revenue Service has published a guide for employers that want to ...