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.
John Hancock Investment Names Compliance Chief
By Staff WriterNU Online News Service, Feb. 2, 2005, 3:50 p.m. ESTA U.S. unit of Manulife Financial Corp., Toronto, has attracted an executive from Fidelity Management ...
February 01, 2005
Ire Toward The IRSThe 403(b) industry is up in arms over proposed regulations issued by the Internal Revenue Service that would essentially strip 403(b)s of their unique status...
January 31, 2005
Software Firm Rolls Out Compliance ModuleNU Online News Service, Jan. 31, 2005, 3:25 p.m. ESTEMoneyAdvisor Inc., Conshohocken, Pa., has introduced a product that can help financial advisors cope with ...
January 27, 2005
Software Company Adds COBRA ModuleNU Online News Service, Jan. 27, 2005, 3:39 p.m. ESTThe developers of the BeneTrac benefits system have introduced a new compliance tool.[@@]The BeneTrac company, ...
January 27, 2005
Insurer Warns About Regulatory ActionsNU Online News Service, Jan. 27, 2005, 9:13 a.m. ESTHartford Financial Services Inc. says it continues to face investigations by the U.S. Securities and ...
January 26, 2005
Advisors SayAs an entrepreneur and business owner, one of the toughest things you may struggle with is relinquishing control of a business function and admitting that outsourcing may sometimes be the best solution for your business. That's exactly what many advisors are doing in the wake of increased compliance requirements and...
January 24, 2005
Clearing Corporation Prefers Risk-Based Capital RatiosA group that helps process securities trades wants to change its membership standards for insurance companies.[@@]The group, the National Securities Clearing Corp., New York, ...
January 18, 2005
Seminar Probes Mysteries of SEC Registration RuleNEW YORK (HedgeWorld.com)--Now that registration with the Securities and Exchange Commission is the law of the land, it's time for hedge funds to grin and comply with it. But first they have to figure just what the SEC means by "comply." Divining the commission's intent was the goal of a...