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.
New York Names Financial Regulation Czar
By Staff WriterEmpire State officials are moving ahead with efforts to streamline financial services regulation.Scott Rothstein has been picked to be executive director of the New York ...
November 01, 2007
Not-Quite-Final ExamsAs we enter the final quarter of 2007, it is a good time for tax advisors, and financial planners who work with tax advisors on...
October 31, 2007
IRS Seeks Nominees For Advisory Panel VacanciesThe Internal Revenue Service has 8 openings on a committee that gives it an idea about how members of the public view tax administration issues.The ...
October 31, 2007
IRS Seeks Nominees For Advisory Panel VacanciesThe Internal Revenue Service has 8 openings on a committee that gives it an idea about how members of the public view tax administration issues.The ...
October 30, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 29, 2007
FINRA OKs Variable Life Settlement Broker-DealerThe Financial Industry Regulatory Authority has given Invescor Wholesale BD Inc. permission to expand into the secondary life insurance market.FINRA, Washington, is a broker-dealer group ...
October 28, 2007
409A Deadline ExtendedThe American Benefits Council applauded the decision by the Internal Revenue Service to extend the deadline for tax code Section 409A, allowing plan sponsors more ...
October 28, 2007
Defeat On 401(k) Default Investments Seen As Having Limited ImpactThe life insurance industry has lost its battle to retain stable value funds as qualified default investments in 401(k) plans.Specifically, the final regulation published in ...