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 Charter Hearings To Start In June
By Steven BrostoffNU Online News Service, May 16, 1:05 p.m. -- WashingtonA House Financial Services Committee panel is expected to begin hearings on state regulation and ...
May 09, 2002
Federal Chartering Unlikely To Pass This SessionNU Online News Service, May 9, 4:55 p.m. -- New YorkSpeakers agreed here Wednesday that Congress is unlikely to create a "federal charter option" ...
April 28, 2002
SEC's New Rules For VL Registrations Will Reform ProspectusesSECs New Rules For VL Registrations Will Reform ProspectusesThe Securities and Exchange Commissions new rules for prospectuses that offer variable life insurance policies, which were ...
April 21, 2002
Your Message To Employers: Manage FLMA With Other Benefit ProgramsYour Message To Employers: Manage FLMA With Other Benefit ProgramsByDo you work with employers having 50 or more employees within a 75-mile radius? If so, ...
April 21, 2002
SEC Breaks Ground In Adopting New VL Registration From N-6SEC Breaks Ground In Adopting New VL Registration Form N-6The Securities and Exchange Commission has adopted Form N-6, the long-awaited registration form designed specifically for ...
April 17, 2002
IRS Eases Cafeteria Plan Reporting RulesNU Online News Service, April 17, 6:16 p.m. -- The Internal Revenue Service is trying to give sponsors of section 125 cafeteria plans and ...