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.
Firm Introduces Foundation Administration Services
By Staff WriterNU Online News Service, Feb. 18, 12:59 p.m. -- Foundation Source Philanthropic Services Inc., Norwalk, Conn., is now selling back-office administration services for lawyers ...
January 27, 2003
New Rules on Lawyer's Responsibilities, Proxy DiscThe SEC takes some votes, but is still accepting c
January 17, 2003
SEC Acts On Mutual Fund DiscountsNU Online News Service, Jan. 17, 6:14 p.m. -- The Securities and Exchange Commission says it is asking all National Association of Securities Dealers ...
January 12, 2003
IRS Issues Positive PLR On Disability Coverage in 401(k)IRS Issues Positive PLR On Disability Coverage in 401(k)The Internal Revenue Service has once again issued a positive private ruling for a group disability product ...
January 06, 2003
MONY Hires Compliance ChiefNU Online News Service, Jan. 6, 5:15 p.m. -- The MONY Group Inc., New York, has hired Jay Cohen to be its chief compliance ...
December 29, 2002
Smaller World Requires More Efficient Accounting And RegulationByNew York Is it really a small world, after all?Executives say that in terms of insurance the world is getting there, and given that movement, ...
December 29, 2002
The IRS Provides Advice For Investors With LossesThe IRS Provides Advice For Investors With LossesOverall, this year has been a mixed bag for shareholders. Descending market averages have plagued investors for the ...