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.
Senate Panel Divided On Insurance Regulation
By Arthur D. PostalMembers of the Senate Banking Committee clashed today during a long hearing on insurance regulation reform.Sen. Richard Shelby, R-Ala., chairman of the committee, asked Alessandro ...
July 11, 2006
Senate Panel Mulls Insurance RegulationA life insurance executive will appear on Capitol Hill today to praise the optional federal charter concept, a state regulator will promote state regulation, and ...
July 06, 2006
IRS Explains Taxation Of Late Plan PaymentsThe Internal Revenue Service has issued procedures employers can use when computing tax obligations resulting from delays in sending employees' contributions to 401(k) plans and ...
July 05, 2006
Groups Prepare For Senate Regulation HearingThe Senate Banking Committee is expecting many witnesses from insurance industry organizations to appear July 11 at a hearing on insurance regulation.Maine Insurance Superintendent Alessandro ...
July 05, 2006
Groups Prepare For Senate Regulation HearingThe Senate Banking Committee is expecting many witnesses from insurance industry organizations to appear July 11 at a hearing on insurance regulation.Maine Insurance Superintendent Alessandro ...
July 01, 2006
GROUP THINKStarting July 1, NAPFA will launch its "Focus on Fiduciary" campaign, a consumer education program that is being supported by the NAPFA Consumer Education Foundation,...
July 01, 2006
Closing a LoopholeThe IRS was concerned that if someone established a charitable remainder annuity trust it might be done in such a way that the annuity remitted...
July 01, 2006
Passing MusterIn this, my initial column, I will begin to address compliance and practice protection-related issues important to both SEC and state registered investment advisors. My...