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.
SEC Adopts Rules to Address Market Timing
By Staff WriterWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has announced new rule amendments designed to force mutual fund companies to better explain to their investors any fund...
April 16, 2004
IRS Releases Pension Relief GuidanceNU Online News Service, April 16, 2004, 5:31 p.m. EDT -- U.S. employers can use a composite corporate bond rate of 5.44% when computing ...
April 02, 2004
MONY Wins Proxy Disclosure Court BattleNU Online News Service, April 2, 2004, 4:15 p.m. EST -- A federal court has helped MONY Group Inc., New York, fight opponents of ...
April 01, 2004
(An Old) Step Toward National RegulationNU Online News Service, April 1, 2004, 5:33 p.m. EST -- Current members of Congress are not the first who have thought about the ...
April 01, 2004
IRS Releases More Guidance On Health SAvings AccountsIRS Releases More GuidanceOn Health Savings AccountsByThe Internal Revenue Service has made good on promises to rush out a second batch of guidance on health ...
April 01, 2004
New SEC Proposal Means Information Overload, Says ACLINew SEC ProposalMeans InformationOverload, Says ACLIBYWashingtonVariable product consumers could face information overload under a new Securities and Exchange Commission proposal requiring additional disclosure of fees ...
April 01, 2004
Taking StepsTo answer questions about allegations of unethical practices involving Franklin Templeton, the company directs inquirers to a statement on the company's Web site (www.franklintempleton.com/retail/jsp_cm/home/MF_trading_practices.jsp). The...
March 31, 2004
Sun Life Unit Settles SEC ProceedingsNU Online News Service, March 31, 2004, 5:22 p.m. EST -- Sun Life Financial Inc., Toronto, says a U.S. subsidiary has agreed to pay ...