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 To Replace GST Allocation Relief Notice
By Staff WriterThe Internal Revenue Service wants to formalize the system it uses to help taxpayers who say they need more time to allocate their generation-skipping transfer ...
April 17, 2008
IRS To Replace GST Allocation Relief NoticeThe Internal Revenue Service wants to formalize the system it uses to help taxpayers who say they need more time to allocate their generation-skipping transfer ...
April 17, 2008
Regulators Fine-Tune HSA RulesThe Internal Revenue Service has come out with regulations that will affect employer-sponsored health savings account contribution programs.One provision in the final regulations, which appear ...
April 16, 2008
FPA leader says battle continues after professional standards court decision(On March 30), the United States Court of Appeals for the District of Columbia Circuit spoke clearly in favor of investor protection (Financial Planning Association v. Securities and Exchange Commission). After 7 years of contentious debate, a court
April 15, 2008
Caution urged in wake of latest FINRA sweepsFINRA -- the Financial Industry Regulatory Authority -- is executing two new industry "sweeps" that suggest high standards of ethics and strict compliance are more important than ever. The first sweep, announced in Sept. 2007, is to examine
April 14, 2008
NAPFA to SEC: More consumer education neededOne of the primary roles of the Securities and Exchange Commission is to protect investors. The National Association of Personal Financial Advisors is encouraging the SEC to make disclosures easier to understand.Since 1983 NAPFA, the leading
April 14, 2008
Caution urged in wake of latest FINRA sweepsFINRA -- the Financial Industry Regulatory Authority -- is executing two new industry "sweeps" that suggest high standards of ethics and strict compliance are more important than ever. The first sweep, announced in Sept. 2007, is to examine
April 13, 2008
NAPFA to SEC: More consumer education neededOne of the primary roles of the Securities and Exchange Commission is to protect investors. The National Association of Personal Financial Advisors is encouraging the SEC to make disclosures easier to understand.Since 1983 NAPFA, the leading