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.
It's Always Time for ID Theft
By Staff WriterTax season may be over, but that doesn't mean your clients shouldn't still be worried about their returns: the IRS is warning consumers that they...
April 17, 2006
Broker Proposes Preferred Fund Restitution PlanEdward D. Jones & Company L.P. wants to use electronic fund transfers to pay out most of a $75 million client compensation fund.Edward Jones, St. ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 09, 2006
GAO Says 5% Of Federal Employees Signed Up For LTC PlanIn its first three years, the Federal Long Term Care Insurance Program has had less participation than originally projected, but claims submitted under the program ...
April 09, 2006
GAO Says 5% Of Federal Employees Signed Up For LTC PlanIn its first three years, the Federal Long Term Care Insurance Program has had less participation than originally projected, but claims submitted under the program ...