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.
LOMA Schedules Financial Forum
By Staff WriterNU Online News Service, March 11, 2003, 11:28 a.m. EST -- LOMA, Atlanta, will be holding the Financial Inforum May 4-7 in Naples, Fla.Sessions ...
March 09, 2003
Suitability Regulation Takes Another TurnSuitability Regulation Takes Another TurnThe long-running saga of crafting a model law for regulating the suitability of insurance product sales has taken another turn--and this ...
February 23, 2003
NAIC Ready To Release A New Suitability ModelNAIC Ready To Release A New Suitability ModelByA new working draft to address the suitable sale of products is ready for public exposure and comment, ...
February 18, 2003
Firm Introduces Foundation Administration ServicesNU Online News Service, Feb. 18, 12:59 p.m. -- Foundation Source Philanthropic Services Inc., Norwalk, Conn., is now selling back-office administration services for lawyers ...
February 16, 2003
IRS Issues Guidance For Rollover Deadline WaiversIRS Issues Guidance For Rollover Deadline WaiversBy John H. FentonFor years, countless taxpayers have been victimized by the strict 60-day deadline for rolling over distributions ...
February 06, 2003
Senators Introduce Class-Action Reform BillNU Online News Service, Feb. 6, 3:11 p.m. -- WashingtonThe fight to enact class-action legal reform, a top insurance industry legislative objective, resumed yesterday ...
January 27, 2003
New Rules on Lawyer's Responsibilities, Proxy DiscThe SEC takes some votes, but is still accepting c
January 17, 2003
SEC Acts On Mutual Fund DiscountsNU Online News Service, Jan. 17, 6:14 p.m. -- The Securities and Exchange Commission says it is asking all National Association of Securities Dealers ...