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.
GAO Tells SEC to Increase Oversight of SROs
By Melanie WaddellThe 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 01, 2008
DOL Issues Fee Disclosure RegsThe 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 28, 2007
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 ...
December 28, 2007
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 ...
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 ...