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.
Feds Verify School Annuity Compliance
By Staff WriterThe Internal Revenue Service is expanding a program to ensure that U.S. public schools are offering 403(b) retirement plans.Federal law requires schools to make the ...
June 20, 2007
Revise 12b-1 or Not?The Securities and Exchange Commission was well aware that 12b-1 fees would be used to compensate brokers for providing services to mutual fund shareholders when it created the rule in 1980, according to former SEC officials.
June 19, 2007
IRS Prepares Estate Tax AnalysisResearchers at the Internal Revenue Service are crunching numbers for a look at the taxes U.S. residents pay when they die.The researchers will publish one ...
June 19, 2007
IRS Prepares Estate Tax AnalysisResearchers at the Internal Revenue Service are crunching numbers for a look at the taxes U.S. residents pay when they die.The researchers will publish one ...
June 15, 2007
In a Hurry to Sell Short?The SEC has removed for good a longstanding obstacle to the short sale of stocks, eliminating the "tick" test. On the other hand, you'd better be ready to settle that short sale, as there will be no more grandfathering of positions that don't settle on time. They will be closed...
June 15, 2007
SEC Rolls Out Credit Rating Agency RuleThe U.S. Securities and Exchange Commission is about to implement new regulations that could increase the number of companies assessing whether companies can pay insurance ...
June 12, 2007
SEC Prepares Comp ViewerThe U.S. Securities and Exchange Commission is about to make it easier for members of the public to analyze top corporate executives' retirement benefits.The SEC ...
June 12, 2007
SEC Prepares Comp ViewerThe U.S. Securities and Exchange Commission is about to make it easier for members of the public to analyze top corporate executives' retirement benefits.The SEC ...