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 29, 2003
SEC And NASD Officials Reiterate VA Oversight And Compliance WarningsSEC And NASD Officials Reiterate VA Oversight And Compliance WarningsByWashington Insurance companies should do all they can to instill a culture of compliance in their ...
June 22, 2003
An Overview Of The 2003 Proposed RegulationsAn Overview Of The 2003 Proposed RegulationsThe focus of these additional proposed regulations is the methodology related to the calculation of equity split dollar under ...
June 22, 2003
A Look At The IRS's Additional Proposed Split-Dollar RegulationsA Look At The IRSs Additional Proposed Split-Dollar RegulationsBy Mark A. TeitelbaumOn May 8, 2003, the Treasury and Internal Revenue Service issued additional proposed regulations ...
June 12, 2003
GE Financial Unit Develops HIPAA Privacy MaterialsNU Online News Service, June 12, 2003, 4:25 p.m. EDT -- GE Financial Employer Services Group, Enfield, Conn., has set up a team to ...
June 04, 2003
NASD Proposes Annual Chief Compliance Officer CertificationsNU Online News Service, June 4, 2003, 3:18 p.m. EDT -- The National Association of Securities Dealers, New York, says it wants to give ...
May 19, 2003
Bond Fund Yield Quotations Can Yield a Bit of ConfAn excerpt from the May 16, 2003, edition of The W
May 16, 2003
Institute Schedules Anti-Money-Laundering ConferenceNU Online News Service, May 16, 2003, 1:05 p.m. EDT -- The Institute for International Research, New York, has scheduled an Anti-Money Laundering Audit ...
May 12, 2003
SEC Round Table Includes Few Hedge Fund ManagerNEW YORK (HedgeWorld.com)--The 63 panelists announced by the Securities and Exchange Commission for the hedge fund round table next week include lawyers, regulators, pension and...
May 11, 2003
Dealing With Split Dollar Before Regulations Are FinalDealing With Split Dollar Before Regulations Are FinalByWashington, D.C. As lawmakers grapple with finalizing the much anticipated split-dollar regulations, agents in the field are still ...
May 09, 2003
IRS Seeks Comment On Split-Dollar Valuation ProposalNU Online News Service, May 9, 2003, 5:35 p.m. EDT -- WashingtonThe Internal Revenue Service is seeking comments on a proposed method for valuing ...