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.
Nine Steps to a Compliant Article
By Staff WriterHere are some pointers on how to write articles using your compliance department as your partner, not your adversary. Identify the common problem you...
December 12, 2005
Feds Issue 409A Reporting GuidanceThe Internal Revenue Service is giving employers and "service providers" more time to comply fully with a new tax law that deals with taxation ...
December 08, 2005
Labor Revamps Compliance PortalThe U.S. Department of Labor is trying to make it easier for employers, benefits advisors and others to find information about labor laws and ...
December 06, 2005
SEC Still Sees Directed Brokerage ProblemsSome pension consultants continue to display weaknesses in compliance.[@@]Lori Richards, director of the compliance inspections office at the U.S. Securities and Exchange Commission, made ...
December 02, 2005
Federal Agencies Update Mortality TablesThe Internal Revenue Service and the Pension Benefit Guaranty Corp. say they will be taking different approaches to replacing the 1983 Group Annuity Mortality ...
December 01, 2005
Ameriprise Negotiates Deals With Securites RegulatorsA major financial services company says it will be spending about $59 million on settlements to resolve concerns of state and national agencies about ...
December 01, 2005
SEC Accepts Viatical Firm SettlementFederal regulators say they have agreed to accept a $25 million settlement offer from the former principals of a failed life settlement firm.[@@]The U.S. ...
November 29, 2005
Great%2DWest Offers FSA Grace Period OptionGreat-West Healthcare will be introducing a grace period feature for employers that use Great-West to run their flexible spending account plans.[@@]Federal regulators recently gave ...