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.

Federal Regulation

IRS Settlement Program Refers To Annuities

By Allison Bell
Hedge Fund's Loss Prompts SEC Investigation

February 17, 2005

Hedge Fund's Loss Prompts SEC Investigation
NSCC Continues With Plans To Serve SMA Market

February 16, 2005

NSCC Continues With Plans To Serve SMA Market
NSCC Publishes New Insurance Transaction Fees

February 16, 2005

NSCC Publishes New Insurance Transaction Fees
IRS Moves On 403(b) Plans Concern AALU And ACLI

February 09, 2005

IRS Moves On 403(b) Plans Concern AALU And ACLI
IRS Sets Mutual Rate At 0

February 07, 2005

IRS Sets Mutual Rate At 0
SEC Opens Door To XML Data

February 04, 2005

SEC Opens Door To XML Data
John Hancock Investment Names Compliance Chief

February 02, 2005

John Hancock Investment Names Compliance Chief