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 Postpones Nonqualified Plan Document Compliance
By Staff WriterThe Internal Revenue Service will be giving employers and individuals until Dec. 31, 2008, to comply with new document rules related to Section 409A of ...
September 10, 2007
SEC Approves VA Sales Practices RuleThe Financial Industry Regulatory Authority is gearing up to impose new regulations on variable annuity sellers.The U.S. Securities and Exchange approved a FINRA VA sales ...
September 09, 2007
Current Implications For The New Section 403(b) RegsThe final regulations under section 403(b) dramatically change the landscape for employers, providers and participants under section 403(b) plans.Though generally effective beginning Jan. 1, 2009, ...
September 09, 2007
Current Implications For The New Section 403(b) RegsThe final regulations under section 403(b) dramatically change the landscape for employers, providers and participants under section 403(b) plans.Though generally effective beginning Jan. 1, 2009, ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 09, 2007
SEC Head Says Federal Action Needed To Protect SeniorsSome federal government action will be needed to help protect seniors from so-called experts offering investment advice, the head of the Securities and Exchange Commission ...
September 06, 2007
FINRA Fines Firm Over Fee-Based AccountsThe Financial Institutions Regulatory Authority says a member firm should have been more careful to ensure that customers enrolled in a fee-based brokerage account program ...
September 06, 2007
Protecting the ElderlyLawmakers, the Securities and Exchange Commission, and state regulators are bent on making sure advisors with designations touting expertise when it comes to helping seniors are closely scrutinized.