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 Official Raises Yellow Flags On Reserving Shift
By Jim ConnollyAn Internal Revenue Service life actuary has expressed concerns about efforts to replace the current formula-based reserving system.The IRS actuary, Allen Booth of Brookfield, Wis., ...
June 19, 2007
IRS Prepares Estate Tax AnalysisResearchers at the Internal Revenue Service are crunching numbers for a look at the taxes U.S. residents pay when they die.The researchers will publish one ...
June 19, 2007
IRS Prepares Estate Tax AnalysisResearchers at the Internal Revenue Service are crunching numbers for a look at the taxes U.S. residents pay when they die.The researchers will publish one ...
June 15, 2007
In a Hurry to Sell Short?The SEC has removed for good a longstanding obstacle to the short sale of stocks, eliminating the "tick" test. On the other hand, you'd better be ready to settle that short sale, as there will be no more grandfathering of positions that don't settle on time. They will be closed...
June 15, 2007
SEC Rolls Out Credit Rating Agency RuleThe U.S. Securities and Exchange Commission is about to implement new regulations that could increase the number of companies assessing whether companies can pay insurance ...
June 12, 2007
SEC Prepares Comp ViewerThe U.S. Securities and Exchange Commission is about to make it easier for members of the public to analyze top corporate executives' retirement benefits.The SEC ...
June 12, 2007
SEC Prepares Comp ViewerThe U.S. Securities and Exchange Commission is about to make it easier for members of the public to analyze top corporate executives' retirement benefits.The SEC ...
June 04, 2007
FPA Okays SEC's Four-Month Conversion RequestThe Financial Planning Association (FPA) told the U.S. Court of Appeals for the D.C. Circuit June 1 that while it does not oppose the SEC's request that it give broker/dealers four months to convert their fee-based brokerage accounts under the court's ruling in the broker/dealer exemption case, the court should...