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.
Conseco, Inviva Settle With SEC Over Market Timing Charges
By Trevor ThomasConseco, Inviva Settle With SEC Over Market Timing ChargesByConseco Inc. and Inviva Inc. agreed to pay $20 million to settle regulators charges that they helped ...
August 01, 2004
Getting a Handle on Plan ExpensesThe Securities and Exchange Commission's probe of payments that mutual fund companies make to 401(k) plan administrators and consultants should make it easier for advisors...
July 29, 2004
GAO Pans Insurance-Investment Hybrid RegulationCongress should help the regulators who oversee insurance-investment product hybrids get access to more criminal information and other regulatory information.[@@]Richard Hillman, financial markets director ...
July 28, 2004
IRS Answers 88 Questions About HSAsByEmployers can offer employee assistance programs and disease-management programs along with health savings account programs.Shoshanna Tanner, an official at the Internal Revenue Service, comes to ...
July 26, 2004
IRS Proposes Gift Tax Valuation Guideline RevisionThe Internal Revenue Service has proposed regulations that could change the way the IRS interprets gift tax special valuation rules.[@@]The IRS is proposing the ...
July 26, 2004
Medicare Officials Release Drug And PPO RegsThe federal government has published 2 mammoth sets of regulations that will help implement the Medicare Modernization Act of 2003.[@@]The Centers for Medicare and ...
July 23, 2004
IRS Completes Worksite IRA RegulationsThe Internal Revenue Service has released a final version of regulations that could help employers encourage workers to save more for retirement.[@@]The regulations, revisions ...
July 23, 2004
IRS Answers 88 Questions About HSAsEmployers can offer employee assistance programs and disease-management programs along with health savings account programs.[@@]Shoshanna Tanner, an official at the Internal Revenue Service, and ...