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 May Exempt from Registration Managers That Cat
By Staff WriterNEW YORK (HedgeWorld.com)--Debate is under way over the recent recommendation by Securities and Exchange Commission staff to require hedge fund managers to register as investment...
October 08, 2003
Aetna Introduces Card-Based FSA AdministrationNU Online News Service, Oct. 8, 2003, 2:43 p.m. EST -- Aetna Inc., Hartford, has introduced an automated debit card system for drawing on ...
October 02, 2003
Where Is Do-Not-Call This Week?ByWashington The Federal Communication Commissions do-not-call rules remain in effect and are being enforced to the greatest extent possible, says FCC Chairman Michael K. Powell.However, ...
September 29, 2003
FCC Sticks By Do-Not-Call RulesNU Online News Service, Sept. 29, 2003, 3:47 p.m. EDT -- WashingtonThe Federal Communication Commission's do-not-call rules remain in effect and will be enforced ...
September 25, 2003
Pru Talks To Producers About IRS Split-Dollar RulingNU Online News Service, Sept. 25, 2003, 12:15 p.m. EDT -- Prudential Financial Inc., Newark, N.J., has developed a program to explain how it ...
September 24, 2003
Industry Ponders Oklahoma Do-Not-Call DecisionNU Online News Service, Sept. 24, 2003, 6:25 p.m. EDT -- WashingtonIndustry representatives say they are still assessing the effect of a decision by ...
September 23, 2003
Timberland To Market Benefits To ABN AMRO Unit CustomersNU Online News Service, Sept. 23, 2003, 11:49 a.m. EDT -- The Timberland Group, Center Line, Mich., has arranged to market employee benefits consulting ...
September 18, 2003
NAIC Adopts Suitability RegulationByChicago Roughly five years and innumerable drafts later a model that regulates suitability of annuity sales was adopted by the National Association of Insurance Commissioners ...