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.
Investor Forecast: Fog
By Staff WriterThe Consumer Federation of America (CFA), a consumer advocacy organization, and Zero Alpha Group (ZAG), a group of fee-only investment advisors, unveiled in an April 26 conference call results of a survey showing that individual investors remain very unclear about whether the financial professionals they deal with for investments and...
April 18, 2007
UnitedHealth To Put CalPERS Board Proposal In ProxyA large health insurer will give investors a chance to vote on whether the company should be more inviting to some outside nominees for seats ...
April 18, 2007
IRS Says Archer MSA Program Can Keep GoingThe Archer Medical Savings Account is small enough that it can keep going for another year.Officials at the Internal Revenue Service discuss that conclusion in ...
April 18, 2007
IRS Says Archer MSA Program Can Keep GoingThe Archer Medical Savings Account is small enough that it can keep going for another year.Officials at the Internal Revenue Service discuss that conclusion in ...
April 15, 2007
Industry Watchers Laud Final 409A RegulationsThe release by the Internal Revenue Service and U.S. Treasury Department on April 10 of final regulations respecting the treatment of non-qualified deferred compensation plans ...
April 15, 2007
Industry Watchers Laud Final 409A RegulationsThe release by the Internal Revenue Service and U.S. Treasury Department on April 10 of final regulations respecting the treatment of non-qualified deferred compensation plans ...
April 10, 2007
SIFMA Urges SEC Back to Court Over Broker/Dealer ExemptionSince the March 30 Washington D.C. Court of Appeals overturn of the SEC's broker/dealer exemption from fiduciary responsibility for fee-based brokerage accounts, there has been a distinct point-counterpoint repartee, albeit indirectly, between the Financial Planning Association, which filed the lawsuit in 2004 protesting the broker/dealer exemption, and the Securities Industry...
April 06, 2007
IRS Treats More Severance Pay As Section 415 CompOfficials at the Internal Revenue Service have completed work on regulations that will affect the everyday nuts and bolts of retirement plan administration.The IRS has ...