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.
Institute Schedules Anti-Money-Laundering Conference
By Staff WriterNU Online News Service, May 16, 2003, 1:05 p.m. EDT -- The Institute for International Research, New York, has scheduled an Anti-Money Laundering Audit ...
May 09, 2003
IRS Seeks Comment On Split-Dollar Valuation ProposalNU Online News Service, May 9, 2003, 5:35 p.m. EDT -- WashingtonThe Internal Revenue Service is seeking comments on a proposed method for valuing ...
May 08, 2003
IRS OKs Card-Based FSA AdministrationNU Online News Service, May 8, 2003, 5:51 p.m. EDT -- The Internal Revenue Service says employers can use debit cards, credit cards and ...
May 04, 2003
Progress On SuitabilitySuitability of insurance product sales is an issue that can, as the industry has seen over the course of several years, excite fierce passions on ...
April 17, 2003
Alabama To Hold Customer Privacy HearingNU Online News Service, April 17, 11:55 a.m. -- The Alabama Department of Insurance will hold a public hearing May 6 at its offices ...
April 13, 2003
The Three Rs for Variable ProductsRBC, Reserving And RegulationThe Three Rs for Variable Products-- RBC, Reserving and RegulationByVariable insurance products with guarantees could be impacted by two actuarial projects to establish capital and ...
April 11, 2003
Senate Committee Approves Class-Action Reform BillNU Online News Service, April 11, 2003, 4:11 p.m. EDT -- WashingtonIndustry groups are praising the Senate Judiciary Committee for approving a bill that ...
April 06, 2003
How To Be Proactive In The Face Of Ever-Changing Federal RegulationBySweeping federal legislation passed in the wake of September 11 has had significant impact on the insurance industry, but few details have been provided regarding ...