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.
Firm Introduces Presentation System
By Staff WriterWealth2k Inc. has added the Traject product marketing service.Insurance companies and other financial services companies can use the Web-based system to help distribution partners offer ...
November 22, 2006
IRS Plan Notice Probably Will Not Affect YouThe Internal Revenue Service has issued defined benefit pension plan guidance that will affect a handful of commercial airline plans.The guidance, given in IRS Notice ...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 12, 2006
SEC Will Do Study On Financial Product SalesThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...
November 09, 2006
IRS Revises LimitsThe Internal Revenue Service has released a list of inflation-adjusted deduction limits and eligibility limits for 2007.One section of the list, published as Revenue Procedure ...
November 09, 2006
IRS Revises LimitsThe Internal Revenue Service has released a list of inflation-adjusted deduction limits and eligibility limits for 2007.One section of the list, published as Revenue Procedure ...
November 07, 2006
Services Company Offers To Pay SEC $25 MillionA financial services industry support company may be close to ironing out its differences with the U.S. Securities and Exchange Commission.BISYS Group Inc., Roseland, N.J., ...
November 07, 2006
SEC To Commissions SurveyThe U.S. Securities and Exchange Commission is hiring an outside company to help it analyze the marketing and delivery of financial products to individual investors.The ...