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.
Millennium Executive Pleads Guilty
By Staff WriterNEW YORK (HedgeWorld.com)?Steven B. Markovitz a former executive and senior trader with Millennium Partners LP today pleaded guilty to a violation of New York?s Martin...
October 16, 2003
The Final Split-Dollar RegulationsWhat To Do?The Final Split-Dollar Regulations-- What To Do?In the next few months, how should agents analyze split-dollar arrangements that existed before Jan. 28, 2002?Those are the ...
October 16, 2003
Experts See Split-Dollar OpportunitiesByWith the Treasury Departments release of final regulations covering split-dollar, many producers are trying to figure out what to do with clients who have existing ...
October 08, 2003
Aetna Introduces Card-Based FSA AdministrationNU Online News Service, Oct. 8, 2003, 2:43 p.m. EST -- Aetna Inc., Hartford, has introduced an automated debit card system for drawing on ...
October 02, 2003
Where Is Do-Not-Call This Week?ByWashington The Federal Communication Commissions do-not-call rules remain in effect and are being enforced to the greatest extent possible, says FCC Chairman Michael K. Powell.However, ...
September 29, 2003
FCC Sticks By Do-Not-Call RulesNU Online News Service, Sept. 29, 2003, 3:47 p.m. EDT -- WashingtonThe Federal Communication Commission's do-not-call rules remain in effect and will be enforced ...
September 25, 2003
Pru Talks To Producers About IRS Split-Dollar RulingNU Online News Service, Sept. 25, 2003, 12:15 p.m. EDT -- Prudential Financial Inc., Newark, N.J., has developed a program to explain how it ...
September 24, 2003
Industry Ponders Oklahoma Do-Not-Call DecisionNU Online News Service, Sept. 24, 2003, 6:25 p.m. EDT -- WashingtonIndustry representatives say they are still assessing the effect of a decision by ...