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 Updates Defined Contribution Plan Determination Letter Process
By Staff WriterThe Internal Revenue Service hopes to issue opinion and advisory letters for pre-approved defined contribution plan documents starting March 31.The letters will cover documents from ...
March 13, 2008
Regulator Warns Consumers On Reverse MortgagesAlthough a reverse mortgage can be helpful to homeowners having trouble paying their bills, it also can jeopardize the homeowners' financial future, warns the Financial ...
March 13, 2008
Regulator Warns Consumers On Reverse MortgagesAlthough a reverse mortgage can be helpful to homeowners having trouble paying their bills, it also can jeopardize the homeowners' financial future, warns the Financial ...
March 11, 2008
Central Banks and The Fed Liquidity MovesThe Federal Reserve (The Fed) announced on March 11 additional "coordinated actions" with the central banks of several other G-10 countries to add liquidity to the troubled credit and financial markets in the U.S. and abroad.
March 07, 2008
Pension Disability Mortality Table May Get UpdateThe Internal Revenue Service is thinking about developing new mortality tables for pension plan participants who are collecting benefits because of disability.The IRS wants to ...
March 07, 2008
Ending a Three-Year Settlement SagaFidelity Investments has agreed to pay an $8 million penalty for accepting over $1.6 million in gifts and entertainment paid for by outside brokers.
March 06, 2008
State Farm Ends Ties To 3 After FINRA ActionState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...
March 06, 2008
State Farm Ends Ties To 3 After FINRA ActionState Farm Insurance Companies says it has terminated the registration of 3 of its principals after the Financial Industry Regulatory Authority disciplined 16 of its ...