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.
Hope Floats For Class Action Reform Bill
By Steven BrostoffHope Floats For Class-Action Reform BillByWashingtonLong delayed class-action reform legislation may yet be enacted this year following an agreement among Senate leaders to take up ...
May 26, 2004
SEC Changes Advisor Ethics Code RulesNU Online News Service, May 26, 2004, 7:33 p.m. EDT -- The U.S. Securities and Exchange Commission today voted unanimously to require investment advisors ...
May 24, 2004
Clean Up Your Act, SEC Tells Fund IndustryThe SEC's Paul Roye says mutual fund companies must "rekindle" the industry's reputation
May 21, 2004
BISA Schedules Regulatory ConferenceNU Online News Service, May 21, 2004, 1:11 p.m. EDT -- The Bank Insurance & Securities Association, Wayne, Pa., will hold a legislative, regulatory ...
May 20, 2004
ASPA: Small 412(i) Plans Should File Tax FormsNU Online News Service, May 20, 2004, 6:17 p.m. EDT -- A key pension group says the federal government should make all defined benefit ...
May 14, 2004
MetLife Unit Gets Wells NoticeNU Online News Service, May 14, 2004, 5:23 p.m. EDT -- The U.S. Securities and Exchange Commission is looking at a "limited number" of ...
May 13, 2004
UnumProvident Offers Compliance PackageNU Online News Service, May 13, 2004, 4:45 p.m. EDT -- UnumProvident Corp., Chattanooga, Tenn., will be bundling a free HR Compliance Solutions program ...
May 13, 2004
NAIFA Tells SEC: Keep 12b-1 FeesByWashingtonFees paid to registered representatives for ongoing service to clients are a legitimate use of mutual fund assets and should not be prohibited, says the ...