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.
IRS Releases PPA Plan Contribution Guidance
By Staff WriterThe 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 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)...
March 01, 2007
Monopoly GameWill broker/dealers be paying more for market data from now-public securities exchanges? Who owns the market data that is created by market makers and broker/dealers...
March 01, 2007
DOL Issues Favorable New Guidance on PPA "Investment Advice" ProvisionsIn response to many questions about the "investment advice" exemption ("Exemption") of the Pension Protection Act of 2006 ("PPA"), the Department of Labor ("Department") released...
February 27, 2007
IRS Looks At Charity Interests In Life PoliciesThe Internal Revenue Service is setting up a system for monitoring the charity-owned life insurance market.Section 1211 of the Pension Protection Act of 2006 requires ...
February 26, 2007
IRS Looks At Charity Interests In Life PoliciesThe Internal Revenue Service is setting up a system for monitoring the charity-owned life insurance market.Section 1211 of the Pension Protection Act of 2006 requires ...