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.
Regulations For Distributions From Roth 401(k) Plans Finalized
By Joseph F. StenkenThe Treasury Department and the Internal Revenue Service recently issued final regulations relating to Roth 401(k) and Roth 403(b) accounts.These final regulations provide guidance on ...
June 21, 2007
Compliance Help From the SECThe Securities and Exchange Commission is now providing a ComplianceAlert letter to chief compliance officers of SEC-registered firms to help them learn more about the common deficiencies and weaknesses that the SEC examiners find during exams.
June 21, 2007
Feds Verify School Annuity ComplianceThe Internal Revenue Service is expanding a program to ensure that U.S. public schools are offering 403(b) retirement plans.Federal law requires schools to make the ...
June 21, 2007
Feds Verify School Annuity ComplianceThe Internal Revenue Service is expanding a program to ensure that U.S. public schools are offering 403(b) retirement plans.Federal law requires schools to make the ...
June 21, 2007
IRS Official Raises Yellow Flags On Reserving ShiftAn Internal Revenue Service life actuary has expressed concerns about efforts to replace the current formula-based reserving system.The IRS actuary, Allen Booth of Brookfield, Wis., ...
June 21, 2007
IRS Official Raises Yellow Flags On Reserving ShiftAn Internal Revenue Service life actuary has expressed concerns about efforts to replace the current formula-based reserving system.The IRS actuary, Allen Booth of Brookfield, Wis., ...
June 20, 2007
Revise 12b-1 or Not?The Securities and Exchange Commission was well aware that 12b-1 fees would be used to compensate brokers for providing services to mutual fund shareholders when it created the rule in 1980, according to former SEC officials.
June 19, 2007
IRS Prepares Estate Tax AnalysisResearchers at the Internal Revenue Service are crunching numbers for a look at the taxes U.S. residents pay when they die.The researchers will publish one ...