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.
SEC Official Blasts VA Industry Abuses
By Steven BrostoffNU Online News Service, June 15, 2004, 7:44 p.m. EDT, Washington -- For the well-being of the industry, variable annuity insurers must confront abusive ...
June 10, 2004
IRS Safe Harbor Proposal Needs Revising, Say Industry GroupsIRS Safe Harbor Proposal Needs Revising, Say Industry GroupsByWashingtonA safe harbor for the valuation of life insurance contracts proposed by the Internal Revenue Service has ...
June 10, 2004
Industry Asks IRS To Revise Life Valuation ProposalNU Online News Service, June 10, 2004, 1:42 p.m. EDT, Washington -- The Internal Revenue Service should revise a proposed safe harbor for the ...
June 08, 2004
Agencies Propose Bank Credit Report Disposal RulesNU Online News Service, June 8, 2004, 5:54 p.m. EDT -- Federal agencies have proposed a set of rules that would regulate financial institutions' ...
June 03, 2004
Hope Floats For Class Action Reform BillHope Floats For Class-Action Reform BillByWashingtonLong delayed class-action reform legislation may yet be enacted this year following an agreement among Senate leaders to take up ...
June 01, 2004
Bumper Crop Of Enforcement ActionsIf you think the SEC is having a field day with new regulations, just check out the number of enforcement actions the regulator has issued...
June 01, 2004
Tall OrderCompliance. It's the buzzword of the day. Attend an industry conference, and you'll notice that the compliance sessions are standing room only. It's no wonder....
May 26, 2004
SEC Changes Advisor Ethics Code RulesNU Online News Service, May 26, 2004, 7:33 p.m. EDT -- The U.S. Securities and Exchange Commission today voted unanimously to require investment advisors ...