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.
Prognostication Time
By Steve PiontekWell, here we are in what is generally the soggiest insurance/political news period of the entire year--that time between mid-December and the first week in ...
January 06, 2008
Industry Pans IRS Proposals On Added Insurance Coverage By DB PlansProposed regulations from the Internal Revenue Service regarding the providing of added insurance coverage by a defined benefit plan could in fact inhibit the ability ...
January 04, 2008
IRS Proposes Plan Diversification RegsThe Internal Revenue Service wants to develop regulations explaining how employers and retirement plan advisors should implement new defined contribution plan investment diversification rules.Members of ...
January 04, 2008
SEC Notes Lack Of International Insurance StandardsThe U.S. Securities and Exchange Commission has included a discussion of international insurance regulatory efforts in a new final financial report rule.The final rule, which ...
January 04, 2008
SEC Notes Lack Of International Insurance StandardsThe U.S. Securities and Exchange Commission has included a discussion of international insurance regulatory efforts in a new final financial report rule.The final rule, which ...
January 03, 2008
GAO Tells SEC to Increase Oversight of SROsThe Government Accountability Office (GAO) recently told the SEC to beef up its oversight of self-regulatory organizations (SROs) by establishing a written framework for conducting SRO inspections, expanding the use of SRO internal review products, and enhancing information technology to improve the SEC's ability to track and analyze SROs' implementation...
January 02, 2008
IRS Sets Filing Rules For Charitable Trusts Hit By ChangeThe Internal Revenue Service has issued guidance aimed at charitable trusts that have turned into private foundations as a result of provisions of the Pension ...
January 02, 2008
IRS Sets Filing Rules For Charitable Trusts Hit By ChangeThe Internal Revenue Service has issued guidance aimed at charitable trusts that have turned into private foundations as a result of provisions of the Pension ...