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 Weighs In On Pension Accrual Rules
By Staff WriterThe Internal Revenue Service is trying to clarify what it considers to be the limits on pension plan provisions that may lead to backloading.IRS officials ...
February 01, 2008
Big Years Ahead for Auto EnrollmentAsk David Wray, president of the Profit Sharing/401(k) Council of America, what the retirement landscape will look like in 2008, and he's quick to point...
February 01, 2008
A GroundbreakerNow that the much-anticipated Rand study of the broker/dealer and investment advisory industries is out, it promises to be the biggest topic of discussion for...
February 01, 2008
SEC Releases RAND Report; Industry Groups Share ConcernsThe Securities and Exchange Commission has shared the findings of a RAND Corporation study that compares how different regulatory systems for broker-dealers and investment advisors...
February 01, 2008
The New ParadigmOn the face of it, the idea of marrying operations and compliance seems natural. But such a marriage is not about combining two separate functions...
February 01, 2008
Out to LunchCompete or comply? When it comes to the tried and true marketing strategy of meal-included seminars, FAs are feeling the heat of an intensifying spotlight...
February 01, 2008
Litigation A-Go-GoFollowing months of giant bank and broker/dealer write-downs, losses, CEO expulsions, runs on banks, and the pummeling of shareholder value at many of the world's...
January 29, 2008
Banc One Securities Fined By FINRAThe Financial Industry Regulatory Authority says it has fined the securities unit of a bank in connection with allegations of unsuitable sales of deferred variable ...