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.
Treasury Proposes New Regulations for Notional Principal Contracts
By Staff WriterOn 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 15, 2004
Oxley: Congress Might Create Regulatory ToolsNU Online News Service, March 15, 2004, 6:11 p.m. EST, New York -- Rep. Michael Oxley, R-Ohio, told insurance commissioners here that federal lawmakers ...
March 11, 2004
SEC Backs Away From Hard Close ProposalNU Online News Service, March 11, 2004, 6:15 p.m. EST, Washington -- The U.S. Securities and Exchange Commission is reevaluating its proposed "hard" 4 ...
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, ...