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.
Personnel Changes: IRS, IMSA, AIG, Others
By Staff WriterThe Internal Revenue Service has promoted Christopher Wagner to deputy commissioner of the tax exempt and government entities division.Wagner, who will help to oversee the ...
June 19, 2006
AHIP: High Court Ruling Will Have Little Effect On CarriersThe U.S. Supreme Court has ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not ...
June 19, 2006
AHIP: High Court Ruling Will Have Little Effect On CarriersThe U.S. Supreme Court has ruled 5-4 that health insurers serving federal employees must seek reimbursement of monies paid to claimants under state law, not ...
June 05, 2006
Fine, Suspension in Four-Year-Old Trading CaseRUMSON, N.J. (HedgeWorld.com)--The U.S. Securities and Exchange Commission said May 31 that it had settled charges that a New Jersey broker-dealer representative had failed to supervise an employee involved in a penny-stock pump-up scheme in mid-2002. Without admitting or denying wrongdoing, Robert W. Oakes Jr. of Rumson, N.J. agreed to...
June 01, 2006
NUMEROLOGYDuring the 2003-2004 election cycle, the Financial Planning Association's Political Action Committee (PAC) contributed $5,000 to federal candidates, according to Federal Election Commission. Among PACs...
June 01, 2006
News & ProductsBaby boomers and seniors--don't confuse the two. By today's standards, boomers are middle aged, and they're not ready to think about retirement, nor are they...
May 24, 2006
IRS Panel To Address Nonprofit Plan RegsAn Internal Revenue Service advisory group is about to hear a working group's views on improving the document compliance program for 403(b) retirement plans.The advisory ...
May 24, 2006
IRS Panel To Address Nonprofit Plan RegsAn Internal Revenue Service advisory group is about to hear a working group's views on improving the document compliance program for 403(b) retirement plans.The advisory ...