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.
Early Comments to SEC on Soft Money Question the Statute
By Staff WriterWASHINGTON (HedgeWorld.com)--Although language purists might complain about any sentence that ends with a preposition, none will protest the concision of Keith L. Shadrick's comment to the Securities and Exchange Commission concerning its new proposed interpretation of the statutory safe harbor for the use of client commissions for research and brokerage...
October 27, 2005
Industry Asks For Role In Updating Disability ProgramThe Social Security Administration is in the middle of a mammoth battle to streamline the notoriously slow, frustrating Social Security Disability Insurance claim determination ...
October 27, 2005
IRS Settlement Program CouldThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 27, 2005
IRS Settlement Program Could Affect Small DB PlansThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 19, 2005
IRS Settlement Program Could Affect 412(i) Plans And OthersThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 12, 2005
Data Theft Victims Might Get Free Credit Report AccessA new House bill could establish national data security standards for financial services firms.[@@]Rep. Deborah Pryce, R-Ohio, the lead sponsor of the bill, H.R. ...
October 07, 2005
Regulators To Waive Advisor Registration System FeesThe sponsors of a national database that tracks individual investment advisors and investment advisory firms say they plan to give advisors a break on ...
October 01, 2005
Tax Resources on the InternetFor many advisors, especially those who are not accountants by trade or education, the federal tax code with its constant updates and private letter rulings...