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.
Web Exclusive: Valuation Pitfalls
By staff WriterElizabeth Ochoa and Clay Bristow write about the critical importance of getting business valuations that can hold up to IRS and courtroom scrutiny.
August 14, 2009
Disclosures and Evoking the Lewis Liman DefenseWhy did the SEC accept a $33 million settlement in light of its allegations that Bank of America failed to disclose that bonus payments were authorized for up to $5.8 billion? Judge Jed Rakoff wants to know.
August 13, 2009
IRS: Help Us With 414(x) RulesThe Internal Revenue Service wants advice about how it should implement a new law that will let employers offer defined benefit pension plans and defined contribution plans on a combined basis.
August 13, 2009
Government Plan Rules EasedThe Internal Revenue Service is giving sponsors of some governmental retirement plans more time to adopt remedial amendments.
August 13, 2009
Firm Settles 403(b) CaseA firm has agreed to pay a $50,000 fine to resolve U.S. Securities and Exchange Commission concerns about supervision of a registered representative convicted of charges related to rollovers into 403(b) products.
August 13, 2009
IRS: Help Us With 414(x) RulesThe Internal Revenue Service wants advice about how it should implement a new law that will let employers offer defined benefit pension plans and defined contribution plans on a combined basis.
August 13, 2009
Firm Settles 403(b) CaseA firm has agreed to pay a $50,000 fine to resolve U.S. Securities and Exchange Commission concerns about supervision of a registered representative convicted of charges related to rollovers into 403(b) products.