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: Please Send in Compliance Check Questionnaires
By Allison BellThe Internal Revenue Service is hoping more of the 1,200 recipients of a 401(k) compliance check questionnaire will complete the questionnaire.
June 22, 2010
H.R. 4173: Senate Conferees Back Indexed Annuity ProposalThe lawmakers who are representing the Senate in H.R. 4173 conference committee proceedings moved Tuesday to offer the Senate an amendment that would keep most indexed annuities state-regulated.
June 22, 2010
PPACA: Agencies Release Core RegulationsThe Obama administration has unveiled interim final regulations it will use to implement the rescission, preexisting condition exclusion, benefits maximum and patient protection provisions in the new federal health laws.
June 22, 2010
PPACA: Agencies Release Core RegulationsThe Obama administration has unveiled interim final regulations it will use to implement the rescission, preexisting condition exclusion, benefits maximum and patient protection provisions in the new federal health laws.
June 21, 2010
In Reform Bill, Fiduciary Duty, EIA Regulation Face Vote on June 22As the Senate and House conferees get back to work on Tuesday, June 22, the critical vote on whether to apply a fiduciary standard to brokers is expected.
June 21, 2010
Agencies Set Rules To Exempt Plans From PPACARules unveiled last week that will govern the grandfathering of existing plans under health care reform legislation did not generate the outrage that opponents of reform hope create.
June 20, 2010
Agencies Set Rules To Exempt Plans From PPACARules unveiled last week that will govern the grandfathering of existing plans under health care reform legislation did not generate the outrage that opponents of reform hope create.
June 18, 2010
SEC: Take Care When Saying Who Should Own a ProductThe U.S. Securities and Exchange Commission wants investment companies to think harder when suggesting whether a particular product is appropriate for a particular type of customer.