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 Ruling On Trusts And Stretch IRA Treatment
By April K. CaudillIn a first-of-its-kind private ruling, the Internal Revenue Service permitted an IRA owner to benefit multiple trust beneficiaries of his IRA while retaining the ability ...
February 05, 2006
Final DOL Regulations Critical To Annuities' Future In TQ PlansThe Department of Labor is currently working on final regulations regarding default investment options in tax qualified plans subject to the Employment Retirement Income Security ...
February 05, 2006
Final DOL Regulations Critical To Annuities' Future In TQ PlansThe Department of Labor is currently working on final regulations regarding default investment options in tax qualified plans subject to the Employment Retirement Income Security ...
February 05, 2006
Agent Groups Tell IRS That Section 409A Needs AddressingRepresentatives of life insurance agent groups are telling the Internal Revenue Service that it must further revise Section 409A, which deals with deferred compensation rules, ...
February 05, 2006
IRS Ruling On Trusts And Stretch IRA TreatmentIn a first-of-its-kind private ruling, the Internal Revenue Service permitted an IRA owner to benefit multiple trust beneficiaries of his IRA while retaining the ability ...
February 01, 2006
Schapiro TappedThe NASD Board of Governors announced January 12 that Mary Schapiro will succeed Robert Glauber as chairman and CEO of NASD upon Glauber's completion of...
February 01, 2006
SEC Inspectors Unit Under FireAfter repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office...
January 27, 2006
Feds Explain Taxation Of Roth 401(k) DistributionsThe Internal Revenue Service has released a draft of regulations that could help sponsors and administrators manage the new Roth retirement accounts.The draft regulations, published ...