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.
(An Old) Step Toward National Regulation
By Staff WriterNU 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
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 ...
March 31, 2004
IRS Releases Second Batch Of HSA GuidanceNU Online News Service, March 31, 2004, 6:11 p.m. EST -- The Internal Revenue Service has made good on earlier promises to rush out ...
March 30, 2004
Multicultural Compliance Shapes Insurance MarketingNU Online News Service, March 30, 2004, 2:10 p.m. EST, New York -- Insurance company compliance officers should think about race and ethnicity when ...
March 24, 2004
Insurance Regulation Is Not A Moral IssueInsurance RegulationIs Not A Moral IssueBYThis is my first personal commentary for the National Underwriters life insurance edition and Im afraid many readers will end ...
March 24, 2004
Treasury Proposes New Regulations for Notional Principal ContractsOn Feb. 26, the Department of the Treasury issued proposed regulations (Reg. 166012-02) relating to the character and timing of payments made pursuant to notional...
March 24, 2004
Why Is The SEC Inquiring Into Insurers Asset Allocation Programs?Why Is The SEC Inquiring Into InsurersAsset Allocation Programs?BYLast November, the staff of the Securities and Exchange Commission sent a letter of inquiry to many ...