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.
CAHI: New IRS Regs Bless List Billing Arrangements
By Staff WriterA new Internal Revenue Service final rule will be a big help to employers that want to let employees use cafeteria plans to buy individual ...
August 10, 2007
Campos to Leave SECCommissioner Roel Campos of the Securities and Exchange Commission announced August 9 that he intends to leave the Commission in a month's time to return to the private sector.
August 10, 2007
EBSA Publishes Final Diversification Fine RuleThe Employee Benefits Security Administration has released regulations that will help it use its new authority to fine retirement plan sponsors that fail to meet ...
August 09, 2007
Labor To Release Company Stock Fine RegulationsThe U.S. Department of Labor is about to unveil a final rule aimed at public employers that fails to encourage employees to diversify away from ...
August 09, 2007
Insurer Settles With SEC Over Private Placement ArrangementA financial services company has agreed to pay $3.3 million to resolve charges that a subsidiary let a wealthy family make late variable universal life ...
August 08, 2007
Proposed Cafeteria Plan Regs Provide Discrimination TestThe Internal Revenue Service has released draft cafeteria plan regulations that could replace 5 earlier sets of draft regulations proposed from 1984 to 2000.The proposed ...
August 02, 2007
FINRA Interim Board of Governors AnnouncedThe Financial Industry Regulatory Authority (FINRA), which is the newly combined NASD-NYSE regulatory agency, announced the appointment of a 23-member Interim Board of Governors on August 2. Members of the interim board will serve until the super-SRO's annual meeting on October 26, when elections will be held for a three-year...
August 02, 2007
IRS Completes One Trust Rule, Proposes AnotherThe Internal Revenue Service has published a final rule and a proposed rule of interest to estate planners and other advisors who deal with generation-skipping ...