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.
Experts See Split-Dollar Opportunities
By Barry HigginsByWith 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 ...
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 ...
September 23, 2003
Timberland To Market Benefits To ABN AMRO Unit CustomersNU Online News Service, Sept. 23, 2003, 11:49 a.m. EDT -- The Timberland Group, Center Line, Mich., has arranged to market employee benefits consulting ...
September 18, 2003
NAIC Adopts Suitability RegulationByChicago Roughly five years and innumerable drafts later a model that regulates suitability of annuity sales was adopted by the National Association of Insurance Commissioners ...
September 16, 2003
IRS, States Join To Fight Tax Avoidance AbusesNU Online News Service, Sept. 16, 2003, 3:02 p.m. EDT -- The Internal Revenue Service says it has formed a nationwide partnership with 40 ...
September 14, 2003
Final Regulations Help Define Legitimate 419 PlansFinal Regulations Help Define Legitimate 419 PlansByIn recent years, the Internal Revenue Service has taken note of plan sponsors purporting to qualify under Section 419A(f)(6) ...