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.
Rakoff's Bank of America Opinion: "The Tipping Point"
By Knut A. RostadIn September 2013 when we look back on Lehman Bothers' demise, will we also see a "reformed" financial system and regulatory structure? One that may be hard to recognize compared to today's structure? If "yes," look to Judge Jed S. Rakoff's opinion.
September 14, 2009
Service Reviews AdsA company says it can help registered investment advisory firms comply with state and federal requirements for advertisements and other marketing materials, such as brochures and seminar scripts.
September 11, 2009
Unfreezing Procedures AddedThe Internal Revenue Service has created procedures for multiemployer defined benefit pension plans that have decided to revoke efforts to freeze their funded status.
September 11, 2009
IRS To Adjust GST RegsThe Internal Revenue Service wants to revise the reporting rules governing transactions that may be helping taxpayers avoid the generation-skipping transfer tax.
September 11, 2009
IRS To Adjust GST RegsThe Internal Revenue Service wants to revise the reporting rules governing transactions that may be helping taxpayers avoid the generation-skipping transfer tax.
September 09, 2009
Gift Valuation Regs EmergeThe Internal Revenue Service has completed work on regulations that set rules for gift donors who want the U.S. Tax Court to value gifts.
September 08, 2009
More On HSA ComparabilityRegulators have released another batch of guidance on what health savings account plan sponsors should do to treat employees fairly.
September 08, 2009
Editor's Choice for September 8, 2009: Market-Moving News for This WeekWhat's happening this week