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.
FSI's Murphy Upbeat About '08
By Staff WriterNew Financial Services Institute (FSI) Chairman Brian Murphy is upbeat about the organization's agenda for 2008. Murphy is looking to "carry on" the work of his predecessors at FSI, which has been an effective advocate for the independent broker/dealer community, especially with lawmakers and regulators.
January 16, 2008
Defrauded States Recover More Frankel AssetsThe Internal Revenue Service is about to pay states $72 million it raised by seizing and, in some cases selling, assets once owned by convicted ...
January 14, 2008
IRS Asks For Comments On Effects Of Reserving ChangesThe Internal Revenue Service is suggesting that adopting a proposed variable annuity reserving guideline could have tax consequences.The IRS makes that suggestion in IRS Notice ...
January 14, 2008
IRS Asks For Comments On Effects Of Reserving ChangesThe Internal Revenue Service is suggesting that adopting a proposed variable annuity reserving guideline could have tax consequences.The IRS makes that suggestion in IRS Notice ...
January 13, 2008
Industry Backs FINRA's Delay Of Some Rule 2821 ProvisionsThe life insurance industry is voicing support for the Financial Industry Regulatory Authority's decision to delay the effective date of certain provisions of a new ...
January 13, 2008
Industry Backs FINRA's Delay Of Some Rule 2821 ProvisionsThe life insurance industry is voicing support for the Financial Industry Regulatory Authority's decision to delay the effective date of certain provisions of a new ...
January 13, 2008
Forget 409A--The Magic Is In ERISAAlthough it has been over 3 years since Congress enacted Internal Revenue Code Section 409A, it continues to dominate the financial headlines. Signed into law ...
January 06, 2008
IRS Proposes Hybrid Plan And Pension Asset RulesThe Internal Revenue Service has released a draft of regulations that would help employers use new federal laws that endorse adoption of cash balance plans ...