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.
Employee Benefit Captives Momentum Building
By Michael OmalleyFire xx--Slug--go page xx, with --184 linesThe Columbia Energy case paved the way, but what's the holdup?Anecdotal evidence suggests that there are inefficiencies in ...
September 16, 2005
NASD%3A Home Offices Not Branch OfficesThe U.S. Securities and Exchange Commission has approved a rule change that could force broker-dealers affiliated with life insurers to register more offices as ...
September 14, 2005
MassMutual Fund Unit Settles With SECOppenheimerFunds Inc. and its distribution unit have agreed to settle U.S. Securities and Exchange Commission proceedings stemming from old broker-dealer revenue-sharing arrangements, the SEC ...
September 14, 2005
Relief From Federal RegulatorsThe Treasury Department, Internal Revenue Service, and the Securities and Exchange Commission are providing tax breaks and regulatory relief to those individuals and companies affected by Hurricane Katrina.
September 14, 2005
Tech Provides Answers To Headache Of Multiple RegulationsCompliance products offer secure access, streamlined operationAs regulation in the insurance industry continues to grow, insurers increasingly are finding themselves facing what seems like ...
September 13, 2005
SEC Delays Enforcement Of Investment Advisor RuleBroker-dealers are getting 4 more months to comply with a new regulation that will affect sales of variable life and variable annuity products through ...
September 01, 2005
DOL, Accountants Offer Small Biz Benefits TrainingThe U.S. Department of Labor has joined with the American Institute of Certified Public Accountants to teach small business owners how to set up ...
August 31, 2005
ACLI Challenges Proposed VA Suitability RuleWASHINGTONThe American Council of Life Insurers repeated its call for the U.S. Securities and Exchange Commission to reject a proposed regulation that would substantively ...