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.
Estate Tax Exclusion to Rise: IRS Inflation Adjustments for 2012
By Michael S. FischerEstate tax exclusion increases by $120,000 to $5.1 million in 2012; tax brackets to widen.
October 25, 2011
McRaith Asked About SIFI, Data Collection, AIG in Hill AppearanceJobs, data collection and the health of American International Group were among the questions members of a House panel sought answers to as Michael McRaith, new director of the Federal Insurance Office, made his first public appearance as FIO head.
October 25, 2011
DOL Probing Improper BD, RIA Compensation From ERISA PlansThe Department of Labor has recently investigated eight BDs under Consultant/Adviser Project, focusing on improper compensation by benefit plan consultants and investment advisors.
October 25, 2011
Labor Department Releases New Investment Advice Regulation for 401(k), IRA Plans (AP)A new law established by the Department of Labor allows plan providers to offer enrollees advice regarding their 401(k) and retirement account plans.
October 25, 2011
Labor Department Releases New Investment Advice Regulation for 401(k), IRA Plans (AP)A new law established by the Department of Labor allows plan providers to offer enrollees advice regarding their 401(k) and retirement account plans.
October 24, 2011
PPACA: Benefits Account Group Asks for Summary Standards ChangesThe Employers Council on Flexible Compensation notes that a plan enrollee is not necessarily a plan participant.
October 24, 2011
PPACA: Benefits Account Group Asks for Summary Standards ChangesThe Employers Council on Flexible Compensation notes that a plan enrollee is not necessarily a plan participant.
October 24, 2011
New DOL Rule on Investment AdviceThe conclusion to a long-running effort to update fiduciary law will now allow agents to provide computerized investment advice to 401(k) beneficiaries, under certain conditions.