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.
Pension Consultants Must Identify Conflicts
By Steve TuckeyMore than half of U.S. pension consulting firms or their affiliates are selling services both to pension plans and to money managers on an ...
May 16, 2005
SEC Remains Vague On SOX 404The U.S. Securities and Exchange Commission wants to continue to be vague about compliance with Section 404 of the Sarbanes-Oxley Act.[@@]SEC officials say they ...
May 11, 2005
Pension Consultants May Be Serving Two MastersSEC says client rosters create potential for conflictsMore than half of U.S. pension consultants or their affiliates provided products and services to both pension ...
May 11, 2005
SEC Guidance On SOX Hailed By InsurersWashingtonActions by a federal accounting regulator and a private sector overseer last week will reduce the cost of compliance with the controversial Section 404 ...
May 09, 2005
IRS Sets Procedure For Volume SubmittersFederal regulators have published guidance for financial services firms that administer large numbers of retirement plans.[@@]The Internal Revenue Service guidance, Announcement 2005-37, affects "volume ...
May 08, 2005
Stolte Promotes Accounting Regulation Changes At NCOIL MeetingA leading insurance regulator is asking state legislators for help with adding tougher internal control and financial reporting requirements to state insurance accounting rules.[@@]Douglas ...
May 04, 2005
Eperts Weigh New IRS Rule at AALU MeetingNote: Go week: L19AALU_409A_wh Go photo: None Go graphic: Pull quote File: L19AALU_409A_wh.doc Lines: 173Washington, D.C.With the full force of a new IRS regulation ...