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.
Aguilar Suggests Ways Forward on Reform
By Ron PechtimaldjianNearly 18 months after the economic crisis erupted, SEC Commissioner Luis Aguilar, in a speech before the 2010 Mutual Funds and Investment Management Conference on...
March 30, 2010
How Do 401(k) Regs Work For You?The Internal Revenue Service is seeking public comments on 401(k) plan regulations issued in 2000.
March 30, 2010
IRS Moves Ahead With Determination Letter ProcessThe Internal Revenue Service says it is plowing ahead with efforts to give defined benefit plan suppliers more confidence that their plans are structured properly.
March 29, 2010
IRS Avoids Life PBR Pronouncements In VA NoticeThe Internal Revenue Service has issued advice about applying new variable annuity reserve valuation methods without coming to any conclusions about principles-based reserves for life insurance.
March 29, 2010
IRS Avoids Life PBR Pronouncements In VA NoticeThe Internal Revenue Service has issued advice about applying new variable annuity reserve valuation methods without coming to any conclusions about principles-based reserves for life insurance.
March 26, 2010
Insuritas Lands United Federal CUUnited Federal Credit Union has picked Insuritas Inc. to support its insurance operations.
March 26, 2010
SEC to Review Use of Derivatives by FundsThe SEC isreviewing the use of derivatives by mutual funds, exchange-traded funds (ETFs) and other investment companies.
March 26, 2010
OCIE Head Says Expect Harder Exams for Risky PracticesThe new head of the SEC Office of Compliance Inspections and Examinations says investment advisors can expect "harder and deeper" exams if they are dealing in risky practices.