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.
NAIFA Backs Federal Regulation Option
By Steven BrostoffNU Online News Service, Oct. 4, 9:58 a.m. -- WashingtonThe National Association of Insurance and Financial Advisors, Falls Church, Va., says it now supports ...
September 22, 2002
New SEC Rule Accelerates Financial Reporting DeadlinesNew SEC Rule Accelerates Financial Reporting Deadlines ByThe U.S. Securities and Exchange Commission published a final rule last week requiring publicly traded companies to speed ...
September 16, 2002
SEC Accelerates Financial Reporting DeadlinesNU Online News Service, Sept. 16, 5:15 p.m. -- The U.S. Securities and Exchange Commission today published a final rule requiring publicly traded companies ...
September 11, 2002
IRS Postpones 419 Plan HearingNU Online News Service, Sept. 11, 4:44 p.m. -- The federal Internal Revenue Service has rescheduled a public hearing on "10 or more employer ...
September 08, 2002
New York Times Article Didn't Print All The Facts That Fit The CaseNew York Times Article Didn't Print All The Facts That Fit The CaseByMy office has received many inquiries from agents about the July 28 article ...
September 01, 2002
SEC Remarks Suggest UIT VictoryByWashington Life insurers appear to have won a major victory with the apparent decision by the Securities and Exchange Commission not to extend some of ...
August 21, 2002
IRS Publishes Final E-Mail Plan Notice RegsNU Online News Service, Aug. 21, 6:15 p.m. -- The Internal Revenue Service has issued final regulations that let employers notify employees and other ...
August 18, 2002
When It Comes To HIPAA, No Department's Data Is An IslandWhen It Comes To HIPAA, No Departments Data Is An IslandByAs the healthcare industry continues to evolve, healthcare organizations are challenged to continue to provide ...