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.
Don't play games with your CE
By staff WriterContinuing education requirements are a fact of life for most financial professionals. The vast majority dutifully complete their courses, take their exams, and do a better job for their clients as a result. However, a few opt to game the system by
May 15, 2008
Fitch: Federal Regulation InevitableFederal regulation of the U.S. insurance industry probably is coming, but it may not bring quick benefits to insurers or to consumers.Analysts in the Chicago ...
May 13, 2008
IRS Announces 2009 HSA AmountsThe Internal Revenue Service has announced the 2009 "indexed amounts" for health savings accounts.The 2009 maximum contribution limit for individual HSAs has increased to $3,000, ...
May 13, 2008
IRS Announces 2009 HSA AmountsThe Internal Revenue Service has announced the 2009 "indexed amounts" for health savings accounts.The 2009 maximum contribution limit for individual HSAs has increased to $3,000, ...
May 05, 2008
Another SEC Commissioner to Leave OfficeSEC Commissioner Paul Atkins announced May 5 that will leave the Commission; he was originally appointed by President George W. Bush in August 2002.
May 04, 2008
DOL Clarifies Rules On Qualified Default Investment AlternativesThe Department of Labor last week provided "significant" relief to insurers and others who offered default investment alternatives to beneficiaries of retirement plans prior to ...
May 04, 2008
DOL Clarifies Rules On Qualified Default Investment AlternativesThe Department of Labor last week provided "significant" relief to insurers and others who offered default investment alternatives to beneficiaries of retirement plans prior to ...
May 02, 2008
IRS Seeks Council MembersThe Internal Revenue Service wants to fill 3 seats on the 30-member IRS Advisory Council.IRSAC gives the IRS recommendations about tax administration.Council members include enrolled ...