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.
Commenters Clash Over FMLA Intermittent Leave Rules
By Staff WriterEmployers say some reasonably healthy workers are using the federal Family and Medical Leave Act regulations to fine-tune their schedules.U.S. Department of Labor officials have ...
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 26, 2007
IRS: Location Shutdown Triggers Partial Plan TerminationIf a defined contribution plan sponsor shuts down a location and jettisons 23% of its employees, that move constitutes a partial termination of the plan.Ingrid ...
June 25, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 25, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 25, 2007
IRS Publishes CLAT SamplesThe Internal Revenue Service has released two batches of guidance of interest to advisors in the charitable planning market.The new revenue procedure documents provide annotated ...
June 25, 2007
IRS Publishes CLAT SamplesThe Internal Revenue Service has released two batches of guidance of interest to advisors in the charitable planning market.The new revenue procedure documents provide annotated ...
June 24, 2007
IRS Cautious On Tax Issues Regarding Principles-Based ReservingInsurers and their tax experts are saying that a new principles-based reserving system that is being developed for life insurance products fits within current U.S. ...