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 Act Against Former Marsh Unit Executives
By Staff WriterThe U.S. Securities and Exchange Commission says it has filed criminal charges against 6 former officers of Putnam Fiduciary Trust Company.SEC officials say the problems ...
December 29, 2005
Feds Offer Valuation ReliefThe Internal Revenue Service has published temporary annuity valuation rules for taxpayers who are converting traditional individual retirement accounts that have not yet been ...
December 14, 2005
Feds To Publish Veterans Rights RulesThe U.S. Department of Labor is about to release regulations implementing the Uniformed Services Employment and Reemployment Rights Act.[@@]USERRA is a federal law that ...
December 12, 2005
Feds Issue 409A Reporting GuidanceThe Internal Revenue Service is giving employers and "service providers" more time to comply fully with a new tax law that deals with taxation ...
December 08, 2005
Labor Revamps Compliance PortalThe U.S. Department of Labor is trying to make it easier for employers, benefits advisors and others to find information about labor laws and ...
December 06, 2005
SEC Still Sees Directed Brokerage ProblemsSome pension consultants continue to display weaknesses in compliance.[@@]Lori Richards, director of the compliance inspections office at the U.S. Securities and Exchange Commission, made ...
December 02, 2005
Federal Agencies Update Mortality TablesThe Internal Revenue Service and the Pension Benefit Guaranty Corp. say they will be taking different approaches to replacing the 1983 Group Annuity Mortality ...
December 01, 2005
Ameriprise Negotiates Deals With Securites RegulatorsA major financial services company says it will be spending about $59 million on settlements to resolve concerns of state and national agencies about ...