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.
14 Charged with Insider Trading
By Janet LevauxThe titans of Wall Street aren't involved. But a former UBS executive director, ex-Morgan Stanley compliance attorney, and several former Bear Stearns brokers are. "UBS is...
March 15, 2007
FPA Asks SEC To Clarify Its TermsThe Financial Planning Association says federal regulators ought to do a better job of distinguishing fee-based brokerage services from true financial planning services.The FPA, Denver, ...
March 14, 2007
IRS Releases PPA Plan Contribution GuidanceThe Internal Revenue Service has published a new batch of guidance of interest to retirement plan administrators, advisors and sponsors.The new guidance, given in Notice ...
March 14, 2007
IRS Releases PPA Plan Contribution GuidanceThe Internal Revenue Service has published a new batch of guidance of interest to retirement plan administrators, advisors and sponsors.The new guidance, given in Notice ...
March 07, 2007
NAIC Seeks To Untie Antitrust, Charter IssuesThe National Association of Insurance Commissioners implored Congress today to consider insurers' antitrust exemption as "separate and distinct" from the optional federal charter issue.But the ...
March 07, 2007
NAIC Seeks To Untie Antitrust, Charter IssuesThe National Association of Insurance Commissioners implored Congress today to consider insurers' antitrust exemption as "separate and distinct" from the optional federal charter issue.But the ...
March 04, 2007
IRS Sets Rules For FSA-To-HSA RolloversThe Internal Revenue Service has come up with procedures for employers that want to help employees shift unused flexible spending account assets into health savings ...
March 01, 2007
Uncle Sam May Take His CutWere private annuity trusts (PATs), popular tools for estate planning in retirement, just a flash in the pan, now that the Internal Revenue Service (IRS)...