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.
New York Times Article Didn't Print All The Facts That Fit The Case
By Douglas I. FriedmanNew 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 ...
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 ...
August 11, 2002
Congress Acts To Stop Corporate AbuseAfter watching domestic equity markets decline at an alarming pace, insurers and fund managers breathed a sigh of relief as Congress passed the Sarbanes-Oxley Act ...
August 08, 2002
NYSE Might Delist PlanVistaNU Online News Service, Aug. 8, 11:57 a.m. -- The New York Stock Exchange has notified PlanVista Corp., Tampa, Fla., that it might drop ...
August 01, 2002
An Offer the IRS Can't Refuse?The prudent tax preparer and financial advisor always should strive to follow the letter of the tax code when it comes to preparing a client's...
July 26, 2002
Oxford Settles SEC InvestigationNU Online News Service, July 26, 10:09 a.m. -- Oxford Health Plans Inc., Trumbull, Conn., says it has agreed to pay a $250,000 civil ...
July 22, 2002
CobraPro Opens Nevada OfficeNU Online News Service, July 22, 3:06 p.m. -- CobraPro, Orange, Calif., a benefits compliance administrator, has hired Ruby Warthan to be the regional ...
July 14, 2002
SEC Enforcement Actions Put Spotlight On VA SwitchesSEC Enforcement Actions Put Spotlight On VA SwitchesByThe regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the ...