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.
MetLife Unit Gets Wells Notice
By Staff WriterNU Online News Service, May 14, 2004, 5:23 p.m. EDT -- The U.S. Securities and Exchange Commission is looking at a "limited number" of ...
May 13, 2004
IRS: Employers Can Combine FSAs, HRAs And HSAsNU Online News Service, May 13, 2004, 5:45 p.m. EDT -- The Internal Revenue Service has published an explanation of how the new health ...
May 13, 2004
Debate Continues On Regulations For VAs With GuaranteesDebate Continues On RegulationsFor VAs With GuaranteesByProposed reserving and capital requirements for variable insurance products with guarantees continue to generate discussion over how to make ...
May 06, 2004
SEC May Soften Hard 4 P.M. RuleNU Online News Service, May 6, 2004, 2:14 p.m. EDT, Washington -- The U.S. Securities and Exchange Commission is "closely reviewing" the controversial proposal ...
May 06, 2004
Jefferson National Reports Market Timing ProbeByJefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for potential market timing and late trading activities related to its variable annuities.In ...
May 04, 2004
Jefferson National Reports Market-Timing InquiryNU Online News Service, May 4, 2004, 5:34 p.m. EDT -- Jefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for ...
May 01, 2004
Playing by the SEC's RulesCompliance is such a bogeyman for RIAs. Registered representatives have a compliance officer and branch manager to answer to. And, say what you will about...
April 22, 2004
NAIFA Sends Message To FTC On Do Not E-Mail RegistryByWashingtonA "do not e-mail" registry is unlikely to be effective but could be cumbersome and costly for businesses, the National Association of Insurance and Financial ...