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.
DOL Seeks Advice On 401(k) Fee Disclosure
By Arthur D. PostalWASHINGTON--The Department of Labor is asking interested parties to provide guidance on what kind of information participants in 401(k) plans should have about the fees ...
April 18, 2007
IRS Says Archer MSA Program Can Keep GoingThe Archer Medical Savings Account is small enough that it can keep going for another year.Officials at the Internal Revenue Service discuss that conclusion in ...
April 18, 2007
IRS Says Archer MSA Program Can Keep GoingThe Archer Medical Savings Account is small enough that it can keep going for another year.Officials at the Internal Revenue Service discuss that conclusion in ...
April 15, 2007
Industry Watchers Laud Final 409A RegulationsThe release by the Internal Revenue Service and U.S. Treasury Department on April 10 of final regulations respecting the treatment of non-qualified deferred compensation plans ...
April 15, 2007
Industry Watchers Laud Final 409A RegulationsThe release by the Internal Revenue Service and U.S. Treasury Department on April 10 of final regulations respecting the treatment of non-qualified deferred compensation plans ...
April 10, 2007
SIFMA Urges SEC Back to Court Over Broker/Dealer ExemptionSince the March 30 Washington D.C. Court of Appeals overturn of the SEC's broker/dealer exemption from fiduciary responsibility for fee-based brokerage accounts, there has been a distinct point-counterpoint repartee, albeit indirectly, between the Financial Planning Association, which filed the lawsuit in 2004 protesting the broker/dealer exemption, and the Securities Industry...
April 06, 2007
IRS Treats More Severance Pay As Section 415 CompOfficials at the Internal Revenue Service have completed work on regulations that will affect the everyday nuts and bolts of retirement plan administration.The IRS has ...
April 01, 2007
Perqs Lead to PenaltiesAbout 600 charities and foundations have had to file amended tax forms due to an IRS study that found flaws in the way the organizations...