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.
Actuaries To IRS: Keep It Simple
By Allison BellNU Online News Service, Jan. 12, 2004, 7:04 p.m. EST -- The pension committee of the American Academy of Actuaries, Washington, is recommending that ...
January 01, 2004
When Zero Has ValueWhen it comes to transferring wealth, one of the biggest challenges is to minimize the amount of estate and gift taxes incurred by clients and...
December 22, 2003
IRS Looks At Health Savings AccountsNU Online News Service, Dec. 22, 2003, 6:02 p.m. EST -- The Internal Revenue Service is asking tax advisors, benefits experts and others to ...
December 15, 2003
ICI Asks SEC To Tighten RegulationsNU Online News Service, Dec. 15, 2003, 10:52 a.m. EST -- The Investment Company Institute, Washington, says it will ask the U.S. Securities and ...
December 11, 2003
How Agents Make A Virtue Of NecessityByA common complaint among professionals in the insurance business is keeping up with all the regulatory compliance requirements. Mentioning the word "compliance" to almost anyone ...
December 10, 2003
IRS Posts 2004 Covered Compensation TablesNU Online News Service, Dec. 10, 2003, 10:48 a.m. EST -- The Internal Revenue Service has published the 2004 covered compensation tables in Internal ...
December 05, 2003
SEC Official Calls For Hedge Fund RegistrationNU Online News Service, Dec. 5, 2003, 7:54 a.m. EST -- A member of the U.S. Securities and Exchange Commission is recommending that the ...
December 04, 2003
SEC Proposes Rules To Fight Fund AbusesNU Online News Service, Dec. 4, 2003, 5:19 p.m. EST -- The U.S. Securities and Exchange Commission took steps Wednesday to fight late trading, ...