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.
GAO Recommends IRA Changes
By Staff WriterThe Internal Revenue Service and Congress should work together to make the individual retirement account program less confusing for taxpayers, a congressional watchdog agency says.Officials ...
September 15, 2008
CMS Adopts Medicare Marketing RulesThe federal Centers for Medicare and Medicaid Services today released final regulations that will tighten the rules for agents selling Medicare Advantage plans.The final regulations ...
September 14, 2008
Industry Groups Slam SEC Over Proposed Rule 151AThe National Association of Fixed Annuities criticized the Securities and Exchange Commission last week for closing the comment period on a proposal that would impose ...
September 14, 2008
Industry Groups Slam SEC Over Proposed Rule 151AThe National Association of Fixed Annuities criticized the Securities and Exchange Commission last week for closing the comment period on a proposal that would impose ...
September 11, 2008
LPL Hit With Reg S-P Fine Over Hacking IncidentsLPL has become the latest victim of the SEC's Reg S-P crackdown. The SEC announced September 11 that it had brought an enforcement action against...
September 07, 2008
IRS Postpones Tax Filings for Louisiana Victims of Hurricane GustavIn the middle of a notably busy hurricane season that seems to spawn new storms daily, the Internal Revenue Service announced Sep. 3 that it was postponing until Jan. 5, 2009, the deadlines for individuals and corporations to file tax returns and pay estimated taxes for residents of 36 Louisiana...
September 07, 2008
SEC Proposes International Accounting 'Roadmap'In response to an Aug. 27 announcement, industry representatives are expressing support for the concept of a 'roadmap' for creating a single set of international ...
September 07, 2008
SEC Proposes International Accounting 'Roadmap'In response to an Aug. 27 announcement, industry representatives are expressing support for the concept of a 'roadmap' for creating a single set of international ...