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.
IRS Develops Correction Procedures
By Staff WriterThe Internal Revenue Service has posted a batch of revenue procedures that may help life insurers handle mistakes.Revenue Procedure 2008-38 provides a procedure that a ...
July 01, 2008
PBGC Drafts Bankruptcy Date RegsThe Pension Benefit Guaranty Corp. wants to treat the date when a pension plan sponsor files for bankruptcy as the plan termination date for some ...
July 01, 2008
SEC Eyes Funding Agreement RegistrationThe U.S. Securities and Exchange Commission is asking how to apply efforts to de-emphasize credit ratings to the registration requirements for insurance funding agreement securitizations.SEC ...
July 01, 2008
PBGC Drafts Bankruptcy Date RegsThe Pension Benefit Guaranty Corp. wants to treat the date when a pension plan sponsor files for bankruptcy as the plan termination date for some ...
July 01, 2008
FINRA Teams With IFEBPThe Financial Industry Regulatory Authority is working with the International Foundation of Employee Benefit Plans to help protect companies and older workers from early retirement ...
July 01, 2008
Group ThinkThe CFP Board has filed a comment letter with the SEC welcoming the Commission's proposal to improve the quality of information that investment advisors must...
July 01, 2008
If It Ain't Broke...Sandy Praeger, president of the National Association of Insurance Commissioners (NAIC) and Kansas insurance commissioner, is critical of Treasury's plans for overhaul of the insurance...
July 01, 2008
SEC Chairmen of Yore SpeakHow can you fail to listen when six former SEC chairmen gather to talk about today's regulatory environment? During a roundtable discussion at SEC headquarters...