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.
IRS Rules On Reserve Interest Calculations
By Allison BellNU Online News Service, Dec. 2, 2003, 6:05 p.m. EST -- A new Internal Revenue Service ruling could change the amount of taxes that ...
November 17, 2003
Putnam and SEC Reach Agreement on Market-Timing ChNov. 13, 2003 -- Putnam Investment Management said it reached an agreement with the Securities and Exchange Commission to settle the market-timing allegations made against...
November 09, 2003
IRS Issues Guidance On Partial 1035 Exchanges Of AnnuitiesIRS Issues Guidance On Partial 1035 Exchanges Of AnnuitiesThe IRS has issued guidance on partial 1035 exchanges of annuities and also has said it is ...
November 06, 2003
LOMA Promotes Do-Not-Call SystemNU Online News Service, Nov. 6, 2003, 1:03 p.m. EST -- LOMA, Atlanta, is promoting DNCSolution, a Web-based system from PossibleNOW Inc., Duluth, Ga., ...
November 05, 2003
Familymeds To Supply Extra Info For FSA Administration Card UsersNU Online News Service, Nov. 5, 2003, 4:12 p.m. EST -- Familymeds Inc., Farmington, Conn., has agreed to help Med-i-Bank Inc., Waltham, Mass., send ...
November 04, 2003
Putnam Investments Hires New ChiefNov. 3, 2003 -- Charles E. Haldeman has been named president and chief executive officer of Putnam Investments LLC, replacing Lawrence J. Lasser, who will...
November 04, 2003
SEC Charges Friedlander Second TimeNEW YORK (HedgeWorld.com)--The U.S. Securities and Exchange Commission amended its complaint against Burton G. Friedlander and related companies to include allegations of a US$2 million...
November 03, 2003
Vanguard Offers New Fund Expense DataOct. 22, 2003 -- Vanguard Group, the nation's second largest mutual fund company, said it has adopted a proposal by the Securities and Exchange Commission...