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.
Living without an Uptick Rule on Short Sales: A Pilot Program Set
By Staff WriterWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission changed its rules on short selling at its meeting June 23, adopting with some modifications Regulation SHO, as proposed...
June 17, 2004
New Regulations For A Changing IndustryNew Regulations For A Changing IndustryByThose of you who came into the business 25 or 30 years ago might feel like you need to be ...
June 17, 2004
European, U.S. Regulators Outline Collaboration PlansIn a nod to growing interrelationships between global securities markets, officials at the U.S. Securities and Exchange Commission and the Committee of European Securities Regulators said June 4 that they would work more closely together.
June 16, 2004
Administration Withdraws Proposed Cash-Balance RuleNU Online News Service, June 16, 2004, 8:04 p.m. EDT -- The Bush administration has decided against trying to use regulations to control conversions ...
June 16, 2004
Fiserv Updates Administration SoftwareNU Online News Service, June 16, 2004, 5:07 p.m. EDT -- Fiserv Inc., Cedar Rapids, Iowa, has added new equity-indexed annuity features, long term ...
June 15, 2004
SEC Official Blasts VA Industry AbusesNU Online News Service, June 15, 2004, 7:44 p.m. EDT, Washington -- For the well-being of the industry, variable annuity insurers must confront abusive ...
June 11, 2004
Rising Bond Rates Ease Pension Contribution BurdenNU Online News Service, June 11, 2004, 4:02 p.m. EDT -- The bond markets are starting to give employers that sponsor defined benefit pension ...
June 11, 2004
IRS Formalizes Disability Benefits Tax GuidanceNU Online News Service, June 11, 2004, 5:15 p.m. EDT -- Workers can exclude group disability benefits from taxable income if they paid income ...