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.
ACLI Questions Oxley Reform Proposal
By Steven BrostoffNU Online News Service, March 18, 2004, 5:41 p.m. EST, Washington -- A top insurance trade group official says U.S. House Financial Services Committee ...
March 09, 2004
NAIC May Ask NAIFA To Reconsider New PositionNU Online News Service, March 9, 2004, 12:45 p.m. EST -- A key agent group says it will continue to support consideration of federal ...
March 08, 2004
Evolution Offers Electronic OTC SubstantiationNU Online News Service, March 8, 2004, 4:11 p.m. EST -- Evolution Benefits Inc., Avon, Conn., has taken a step toward eliminating paper from ...
March 05, 2004
SEC May Move Against Fremont FundsMarch 4, 2004 -- The Securities and Exchange Commission has told the investment adviser to the Fremont Funds that it plans to recommend that civil...
March 04, 2004
IRS Broadens Rule On Annuity DistributionsNU Online News Service, March 4, 2004, 1 p.m. EST ? Life insurers are praising a new Internal Revenue Service notice that provides owners ...
March 04, 2004
IRS Gives Owners More FlexibilityBy Steven BrostoffWashingtonLife insurers are praising a new Internal Revenue Service notice that provides owners of nonqualified annuities with more flexibility in taking distributions.The notice, ...
March 03, 2004
Jefferson Pilot: Split-Dollar Policies Meet Tax RulesNU Online News Service, March 3, 2004, 3:10 p.m. EST -- Jefferson Pilot Financial says its LifeComp series of split-dollar life policies offers several ...
February 27, 2004
Actuaries Ask IRS To Leave Out Worker CollarsNU Online News Service, Feb. 27, 2004, 5:57 p.m. EST -- An actuarial group says employers would have a hard time using factors such ...