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.
Insurer Posts Aid For Nonprofit Plan Sponsors
By Staff WriterPrincipal Financial Group Inc. has developed a Web-based tool to help administrators of 403(b) retirement plans cope with major changes in federal regulations.The tool can ...
April 06, 2008
Big Changes In Store For 403(b) Plans Come 2009Participants enrolled in 403(b) plans can expect big changes next year, many of them for the better. That's because on Jan. 1, 2009 new rules ...
April 06, 2008
IRS Allows Split-Dollar Modifications But Questions PersistA new IRS ruling, Notice 2008-42, lets businesses modify split-dollar arrangements without causing a loss of grandfathered treatment under Sections 101(j) and 264(f) of the ...
April 04, 2008
CFA Suggests Debating Mandatory Federal ChartersThe Consumer Federation of America is asking why the U.S. Treasury Department is not pushing to replace the entire state-based insurance regulatory system with a ...
April 03, 2008
Maine Senator Comes Out Against OFC ConceptA New England Republican lawmaker who once served as an insurance regulator says she is against the idea of letting insurers and producers choose between ...
April 03, 2008
Maine Senator Comes Out Against OFC ConceptA New England Republican lawmaker who once served as an insurance regulator says she is against the idea of letting insurers and producers choose between ...
April 02, 2008
IRS Rules On Split Dollar Arrangement ChangesThe Internal Revenue Service says taxpayers can make some changes to split-dollar life insurance arrangements without triggering "material change" rules.If the parties to an arrangement ...
April 01, 2008
Seminars and credentials go under the microscopeNote: FINRA's Regulatory Notice 07-43 echoes a series of complaints and issues in the securities sales area that were addressed in California in Senate Bill 620 with respect to the sale of life insurance, including annuities, to seniors. A leading