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.
Clean Up Your Act, SEC Tells Fund Industry
By Melanie WaddellThe SEC's Paul Roye says mutual fund companies must "rekindle" the industry's reputation
May 14, 2004
MetLife Unit Gets Wells NoticeNU Online News Service, May 14, 2004, 5:23 p.m. EDT -- The U.S. Securities and Exchange Commission is looking at a "limited number" of ...
May 13, 2004
UnumProvident Offers Compliance PackageNU Online News Service, May 13, 2004, 4:45 p.m. EDT -- UnumProvident Corp., Chattanooga, Tenn., will be bundling a free HR Compliance Solutions program ...
May 13, 2004
NAIFA Tells SEC: Keep 12b-1 FeesByWashingtonFees paid to registered representatives for ongoing service to clients are a legitimate use of mutual fund assets and should not be prohibited, says the ...
May 13, 2004
IRS: Employers Can Combine FSAs, HRAs And HSAsNU Online News Service, May 13, 2004, 5:45 p.m. EDT -- The Internal Revenue Service has published an explanation of how the new health ...
May 13, 2004
Debate Continues On Regulations For VAs With GuaranteesDebate Continues On RegulationsFor VAs With GuaranteesByProposed reserving and capital requirements for variable insurance products with guarantees continue to generate discussion over how to make ...
May 06, 2004
SEC May Soften Hard 4 P.M. RuleNU Online News Service, May 6, 2004, 2:14 p.m. EDT, Washington -- The U.S. Securities and Exchange Commission is "closely reviewing" the controversial proposal ...
May 06, 2004
Jefferson National Reports Market Timing ProbeByJefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for potential market timing and late trading activities related to its variable annuities.In ...