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 Approves Use of 2001 CSO Tables
By Allison BellThe Internal Revenue Service has given official permission for taxpayers to use the 2001 Commissioners' Standard Ordinary mortality and morbidity tables.[@@]Taxpayers can use the ...
September 10, 2004
Invesco Employees Settle with SECDENVER (HedgeWorld.com)--Three former Invesco Funds Group Inc. employees have settled Securities and Exchange Commission charges they helped outside investors conduct extensive market timing in Invesco mutual funds. Timothy J. Miller, former chief investment officer and a portfolio manager; Thomas A. Kolbe, former national sales manager; and Michael D. Legoski, former...
September 03, 2004
IRS Proposes Changes To GST Predeceased Parent RuleThe Internal Revenue Service has proposed a rule that could affect interpretation of the "predeceased parent rule."[@@]The proposed regulation would affect financial advisors who ...
August 26, 2004
Survey To Assess Treatment Of Returning ReservistsNU Online News Service, Aug. 26, 2004, 4:13 p.m. EDTThe federal Veterans' Employment and Training Service is starting a survey program to measure employer ...
August 24, 2004
What Is A Small Company?Insurers and regulators are still talking about the definition of "small company" in a draft model regulation that could affect insurance company financial reporting ...
August 24, 2004
IRS Proposes Generation-Skipping Trust RegulationThe Internal Revenue Service has proposed a regulation that deals with qualified severance of a trust for generation-skipping transfer tax purposes.[@@]The proposed regulation would ...
August 20, 2004
SEC Asks For More Comments About Fee-Based AdvisorsThe U.S. Securities and Exchange Commission is asking for more advice about how it should treat brokers who get asset-based fees rather than traditional ...
August 18, 2004
Industry Joins Appeal In California Privacy DebateIndustry Joins Appeal In California Privacy DebateThe insurance industry has joined an appeal of a federal court decision that could raise roadblocks and increase the ...