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.
June 25, 2006
High Court RulingThe U.S. Supreme Court ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not federal ...
June 25, 2006
Sununu Says House Will Soon Introduce OFC BillBipartisan legislation calling for creation of an optional federal charter will soon be introduced in the House, one of the sponsors of such legislation in ...
June 25, 2006
Sununu Says House Will Soon Introduce OFC BillBipartisan legislation calling for creation of an optional federal charter will soon be introduced in the House, one of the sponsors of such legislation in ...
June 23, 2006
Personnel Changes: IRS, IMSA, AIG, OthersThe Internal Revenue Service has promoted Christopher Wagner to deputy commissioner of the tax exempt and government entities division.Wagner, who will help to oversee the ...
June 22, 2006
House To Get Federal Regulation BillAdvocates of major changes in the U.S. insurance regulatory system are about to unveil the House version of legislation that would let carriers choose between ...
June 22, 2006
House To Get Federal Regulation BillAdvocates of major changes in the U.S. insurance regulatory system are about to unveil the House version of legislation that would let carriers choose between ...
June 19, 2006
AHIP: High Court Ruling Will Have Little Effect On CarriersThe U.S. Supreme Court has ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not ...
June 19, 2006
AHIP: High Court Ruling Will Have Little Effect On CarriersThe U.S. Supreme Court has ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not ...
June 05, 2006
Fine, Suspension in Four-Year-Old Trading CaseRUMSON, N.J. (HedgeWorld.com)--The U.S. Securities and Exchange Commission said May 31 that it had settled charges that a New Jersey broker-dealer representative had failed to supervise an employee involved in a penny-stock pump-up scheme in mid-2002. Without admitting or denying wrongdoing, Robert W. Oakes Jr. of Rumson, N.J. agreed to...
June 01, 2006
NUMEROLOGYDuring the 2003-2004 election cycle, the Financial Planning Association's Political Action Committee (PAC) contributed $5,000 to federal candidates, according to Federal Election Commission. Among PACs...