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.
DOL Issues Fee Disclosure Regs
By Melanie WaddellThe Department of Labor (DOL) introduced on December 12 its long awaited proposed rules on enhancing the disclosures regarding fees that fiduciaries of 401(k) plans...
December 15, 2007
IRS Issues 2-Percent Shareholder Health Cost RulesThe Internal Revenue Service has come out with an interpretation that could affect the ability of some S corporation shareholder-employees to deduct health insurance premiums.The ...
December 14, 2007
DOL Issues Fee Disclosure RegsThe Department of Labor (DOL) introduced December 12 its long awaited proposed rules on enhancing the fee disclosures that fiduciaries of 401(k) plans and other employee benefits plans receive to help them determine whether the compensation paid to plan service providers is reasonable, as well as conflicts of interest that...
December 12, 2007
New York Officials Propose Pension Fund RegulationsThe Empire State comptroller's office and insurance department are updating the rules governing the $154 billion New York State Common Retirement Fund.The proposed rules will ...
December 10, 2007
Business Group Backs Federal Regulation OptionThe Business Roundtable is asking congressional committee leaders to give insurers the option of choosing between state and federal regulation."Our current state-based insurance regulatory structure ...
December 10, 2007
Business Group Backs Federal Regulation OptionThe Business Roundtable is asking congressional committee leaders to give insurers the option of choosing between state and federal regulation."Our current state-based insurance regulatory structure ...
December 09, 2007
Eyeing The Sales Opportunity In 409A's Compliance DeadlineWith the approach of 2008, there is a renewed sense of urgency surrounding executive benefit plans' compliance with the ?409A "Final Regulations" issued by the ...
December 07, 2007
Former Executive Resolves SEC InvestigationThe U.S. Securities and Exchange Commission has announced a $468 million settlement in connection with an options accounting case involving a health insurance company.Dr. William ...