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 Posts 2004 Covered Compensation Tables
By Staff WriterNU 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 03, 2003
IRS Sets 2004 LTC And MSA Inflation AdjustmentsNU Online News Service, Dec. 3, 2003, 11:53 a.m. EST -- The Internal Revenue Service has announced the new, inflation-adjusted amounts for certain items ...
December 02, 2003
IRS Rules On Reserve Interest CalculationsNU 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 19, 2003
SEC, NASD Okay Actions Against American Express foNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
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 17, 2003
Evergreen Omega Likes Steady EddiesNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
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., ...