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.
May 06, 2004
Jefferson National Reports Market Timing ProbeByJefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for potential market timing and late trading activities related to its variable annuities.In ...
May 04, 2004
Jefferson National Reports Market-Timing InquiryNU Online News Service, May 4, 2004, 5:34 p.m. EDT -- Jefferson National Life Insurance Company, Louisville, Ky., says it is being investigated for ...
May 01, 2004
Playing by the SEC's RulesCompliance is such a bogeyman for RIAs. Registered representatives have a compliance officer and branch manager to answer to. And, say what you will about...
April 22, 2004
NAIFA Sends Message To FTC On Do Not E-Mail RegistryByWashingtonA "do not e-mail" registry is unlikely to be effective but could be cumbersome and costly for businesses, the National Association of Insurance and Financial ...
April 19, 2004
SEC Adopts Rules to Address Market TimingWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has announced new rule amendments designed to force mutual fund companies to better explain to their investors any fund...
April 18, 2004
IRS Changes FSA Card WorldByFor employers that sponsor flexible spending accounts, electronic payment cards, commonly referred to as FSA debit cards, are nothing new. But the way plans must ...
April 18, 2004
SEC Adopts New Rules To Counter Market TimingSEC Adopts New RulesTo Counter Market TimingByFinal adoption by the Securities and Exchange Commission on April 13 of regulatory requirements to counter market timing generally ...
April 16, 2004
IRS Releases Pension Relief GuidanceNU Online News Service, April 16, 2004, 5:31 p.m. EDT -- U.S. employers can use a composite corporate bond rate of 5.44% when computing ...
April 02, 2004
MONY Wins Proxy Disclosure Court BattleNU Online News Service, April 2, 2004, 4:15 p.m. EST -- A federal court has helped MONY Group Inc., New York, fight opponents of ...
April 01, 2004
(An Old) Step Toward National RegulationNU Online News Service, April 1, 2004, 5:33 p.m. EST -- Current members of Congress are not the first who have thought about the ...