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.
Former Executive Resolves SEC Investigation
By Staff WriterThe U.S. Securities and Exchange Commission has announced a $468 million settlement in connection with an options accounting case involving a health insurance company.Dr. William ...
December 04, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 04, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 03, 2007
IRS Publishes 409A Correction NoticeThe Internal Revenue Service has come out with rules for taxpayers that need to correct problems with nonqualified deferred compensation plans.The rules, described in IRS ...
December 01, 2007
Inside the senate chambersAnd just what was the prevailing opinion on suitability and credentials, something which precipitated this fall's entire season of self-reflection? SEC Chair Christopher Cox's own presentation to the Senate committee offered some
December 01, 2007
IRS Eyes Insurance SecuritizationThe IRS has begun to scrutinize life insurance securitizations. The law firm of Sidley Austin in New York reports in its latest newsletter that Diane...
December 01, 2007
90-24 Transfers, Then and NowHere's a rundown of what's allowable under 90-24 transfers under the new 403(b) regulations as explained by Jamie Ohl, VP for The Hartford's Retirement Plans...
December 01, 2007
NEWS & PRODUCTS, DECEMBER 2007There's an "excellent chance" that the Department of Labor (DOL) will finalize its three initiatives dealing with 401(k) fee disclosures before Congress can pass a...