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.
409A Is The Law...Now What?
By Guy BakerIn the world of nonqualified deferred compensation, there's a new sheriff in town named 409A. It took a while for this law to make itself ...
October 31, 2005
Early Comments to SEC on Soft Money Question the StatuteWASHINGTON (HedgeWorld.com)--Although language purists might complain about any sentence that ends with a preposition, none will protest the concision of Keith L. Shadrick's comment to the Securities and Exchange Commission concerning its new proposed interpretation of the statutory safe harbor for the use of client commissions for research and brokerage...
October 28, 2005
Agency Elevates Official Who Oversaw Boston InvestigationsThe U.S. Securities and Exchange Commission has promoted Peter Bresnan to deputy director of the division of enforcement.[@@[Bresnan has been serving as an associate ...
October 28, 2005
IRS Settlement Program Could Affect Small DB PlansThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 27, 2005
Industry Asks For Role In Updating Disability ProgramThe Social Security Administration is in the middle of a mammoth battle to streamline the notoriously slow, frustrating Social Security Disability Insurance claim determination ...
October 27, 2005
IRS Settlement Program CouldThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 27, 2005
IRS Settlement Program Could Affect Small DB PlansThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 19, 2005
IRS Settlement Program Could Affect 412(i) Plans And OthersThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...