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.
Feds May Try To Cut
By Staff WriterA voluntary long term care insurance program is having a hard time mailing promotional letters to federal employees, but the insureds appear to be good ...
December 28, 2006
OPM: 690,000 Join Voluntary PlansThe U.S. Office of Personnel Management says it is pleased with enrollment figures for the new Federal Employees Dental and Vision Insurance Program.The first open ...
December 27, 2006
SEC Takes Official Look At UnitedHealthThe U.S. Securities and Exchange Commission has taken an interest in the executive compensation practices of a large health carrier.The SEC has sent a formal ...
December 26, 2006
IRS Welcomes Cash-Balance ConversionsRegulators are trying to revive hybrid pension plans.The Internal Revenue Service has issued IRS Notice 2007-6, "Cash Balance and Other Hybrid Defined Benefit Pension Plans," ...
December 14, 2006
SEC Raises Hedge Fund Minimum to $2.5 MillionIn a move that it says is designed to protect investors, the SEC voted December 13 to raise the asset accreditation minimum for investors in investments such as hedge funds, private equity, and venture capital from $1 million to $2.5 million. Under the proposed rule, investors are not allowed to...
December 13, 2006
IRS Offers Tips For Church Health PlansThe Internal Revenue Service has released guidance for religious congregation medical insurance programs.The final regulations, "Exception to the HIPAA Nondiscrimination Requirements for Certain Grandfathered Church ...
December 12, 2006
SEC Risk Director Leaving for Private SectorThe SEC announced that Charles Fishkin, who helped create the Commission's Office of Risk Assessment under-then Chairman Bill Donaldson in 2004 and propagated an agency-wide risk management program designed to make the regulator more proactive, will leave the Commission in the new year to take a position in New York...
December 05, 2006
IRS Implements Grant-Making RulesThe Internal Revenue Service has published temporary guidance of interest to financial advisors who help clients set up charitable giving arrangements.The IRS has issued the ...