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.
Pru Talks To Producers About IRS Split-Dollar Ruling
By Staff WriterNU 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 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) ...
September 11, 2003
Towers Perrin Objects To House Cash-Balance VoteNU Online News Service, Sept. 11, 2003, 3:53 p.m. EDT -- Towers Perrin Inc., Valhalla, N.Y., has put out a statement expressing concern about ...
September 10, 2003
House Votes For Cash-Balance Pension OpponentsThe U.S. House of Representatives has voted 258-160 to approve a measure that could help foes of cash-balance pension plans.The measure, which was introduced ...
September 01, 2003
B/Ds' Compliance Burden Gets HeavierAsk any broker/dealer what their biggest headache is nowadays, and they'll tell you it's complying with the deluge of new and proposed regulations by the...
August 31, 2003
IRS Gives Green Light To Debit Cards For Certain Health PlansIRS Gives Green Light To Debit Cards For Certain Health PlansByAlthough benefits debit cards have been around for the past three or four years, with ...