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.
Mutual Respect Is Essential
By Jack BoboThirty-eight years ago I attended my first board meeting of the National Association of Life Underwriters (now the National Association of Insurance and Financial Advisors) ...
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...
April 11, 2008
FINRA Puts Insurance On Meeting AgendaThe Financial Industry Regulatory Authority Inc. plans to start a 3-day securities conference in Hollywood, Fla., May 21.The conference, which is open to the public, ...
April 10, 2008
Execs Eye New Military FMLA RulesBenefits and human resources managers want to know more about new federal leave provisions that will affect the relatives of military personnel.The new provisions are ...
April 10, 2008
Insurer Posts Aid For Nonprofit Plan SponsorsPrincipal Financial Group Inc. has developed a Web-based tool to help administrators of 403(b) retirement plans cope with major changes in federal regulations.The tool can ...
April 08, 2008
Regulators Defend The Current SystemInsurance commissioners responded to the question, "Is state insurance regulation working?", here at a packed conference organized by the New York City Bar Association.The seminar ...
April 08, 2008
Regulators Defend The Current SystemInsurance commissioners responded to the question, "Is state insurance regulation working?", here at a packed conference organized by the New York City Bar Association.The seminar ...
April 06, 2008
Big Changes In Store For 403(b) Plans Come 2009Participants enrolled in 403(b) plans can expect big changes next year, many of them for the better. That's because on Jan. 1, 2009 new rules ...