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.
Industry Groups Respond To DOL On 401(k) Fee Disclosures
By Arthur D. PostalThe Department of Labor should act to improve disclosure of key information to 401(k) participants by requiring employers to provide them with fee and other ...
August 14, 2007
FINRA: Marketing Rules Can Coexist With Privacy RulesThe Financial Industry Regulatory Authority says insurers ought to be able to keep new reps from replacing existing customers' variable annuities without using the customers' ...
August 13, 2007
CAHI: New IRS Regs Bless List Billing ArrangementsA new Internal Revenue Service final rule will be a big help to employers that want to let employees use cafeteria plans to buy individual ...
August 13, 2007
CAHI: New IRS Regs Bless List Billing ArrangementsA new Internal Revenue Service final rule will be a big help to employers that want to let employees use cafeteria plans to buy individual ...
August 12, 2007
Proposed Cafeteria Plan Regs IssuedThe Internal Revenue Service and the U.S. Treasury Department have released a 124-page draft of cafeteria plan regulations that could replace the tall pile of ...
August 10, 2007
Campos to Leave SECCommissioner Roel Campos of the Securities and Exchange Commission announced August 9 that he intends to leave the Commission in a month's time to return to the private sector.
August 10, 2007
EBSA Publishes Final Diversification Fine RuleThe Employee Benefits Security Administration has released regulations that will help it use its new authority to fine retirement plan sponsors that fail to meet ...
August 09, 2007
Labor To Release Company Stock Fine RegulationsThe U.S. Department of Labor is about to unveil a final rule aimed at public employers that fails to encourage employees to diversify away from ...