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.
Insurers Weigh Legal Challenge To Vermont Privacy Regulation
By Jim ConnollyInsurers Weigh Legal Challenge To Vermont Privacy RegulationByInsurers are weighing a legal challenge to privacy regulations established by the Vermont department of banking, insurance, securities ...
November 01, 2001
Insurers Applaud SEC Recordkeeping RegNU Online News Service, Nov. 1, 10:16 a.m. -- WashingtonInsurance companies and agents are praising the Securities and Exchange Commission for issuing a final ...
October 24, 2001
Health Net Gets IRS OK For Charitable Leave-Sharing PlanNU Online News Service, Oct. 24, 2:56 p.m. -- Health Net Inc., Los Angeles, a managed care company, says the Internal Revenue Service has ...
October 07, 2001
Tax Act Sets Menu For Cafeteria PlansByThe passage of the Economic Growth and Tax Relief Reconciliation Act, and the promulgation of Final Treasury Regulations governing permitted mid-year election changes, have now ...
October 07, 2001
DOL Allows Loans To Plans Facing Liquidity ProblemsDOL Allows Loans To Plans Facing Liquidity Problems By Steven BrostoffWashington Insurance companies will be able to provide interest-free loans to pension plans facing short-term ...
October 03, 2001
Activated Reservists Can Get Tax ExtensionsNU Online News Service, Oct. 3, 2:58 p.m. -- The Internal Revenue Service says reservists called to active, federal duty and new enlistees in ...
September 30, 2001
The SEC Brings Investment Advisor Info To The WebThe SEC Brings Investment Advisor Info To The WebByA new Web site offered by the Securities and Exchange Commission and state regulators is aimed at ...
September 28, 2001
Principal Adjusts IPO Price RangeNU Online News Service, Sept. 28, 2:50 p.m. -- The Principal Financial Group Inc., Des Moines, Iowa, has reduced the expected price range for ...