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.
Part 2:Deferred Gratification
By Staff WriterThe sale of annuities to people who don't need them has been the subject in the press and in the courts. It's old news. So...
October 08, 2002
IRS Rejects Retroactive Section 105 Plan ExclusionsNU Online News Service, Oct. 8, 7:15 p.m. -- The Internal Revenue Service has issued a revenue ruling that could cause tax headaches for ...
October 06, 2002
What New IRS Rules Say On Spousal IRA RolloversWhat New IRS Rules Say On Spousal IRA RolloversIn April of this year, the Treasury Department and the Internal Revenue Service issued new regulations addressing, ...
October 06, 2002
NAIFA Backs Congress Acting On Insurance RegulationNAIFA Backs Congress Acting On Insurance RegulationByWashington The nations leading life insurance agents association says it now supports Congressional action to improve and augment the ...
October 04, 2002
NAIFA Backs Federal Regulation OptionNU Online News Service, Oct. 4, 9:58 a.m. -- WashingtonThe National Association of Insurance and Financial Advisors, Falls Church, Va., says it now supports ...
September 24, 2002
LOMA, LIMRA To Host Compliance ConferenceNU Online News Service, Sept. 24, 12:11 p.m. -- LOMA, Atlanta, and LIMRA, Windsor, Conn., will be sponsoring a Compliance and Market Conduct Exchange ...
September 24, 2002
Instinet's Filing Means Another Delay for SuperMonWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has effectively delayed the launch of Nasdaq's SuperMontage until the middle of October, in order to avoid allowing Nasdaq...
September 22, 2002
New SEC Rule Accelerates Financial Reporting DeadlinesNew SEC Rule Accelerates Financial Reporting Deadlines ByThe U.S. Securities and Exchange Commission published a final rule last week requiring publicly traded companies to speed ...