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.
Forget 409A--The Magic Is In ERISA
By John GephartAlthough it has been over 3 years since Congress enacted Internal Revenue Code Section 409A, it continues to dominate the financial headlines. Signed into law ...
January 06, 2008
Industry Pans IRS Proposals On Added Insurance Coverage By DB PlansProposed regulations from the Internal Revenue Service regarding the providing of added insurance coverage by a defined benefit plan could in fact inhibit the ability ...
January 06, 2008
IRS Proposes Hybrid Plan And Pension Asset RulesThe Internal Revenue Service has released a draft of regulations that would help employers use new federal laws that endorse adoption of cash balance plans ...
January 06, 2008
Industry Pans IRS Proposals On Added Insurance Coverage By DB PlansProposed regulations from the Internal Revenue Service regarding the providing of added insurance coverage by a defined benefit plan could in fact inhibit the ability ...
January 04, 2008
IRS Proposes Plan Diversification RegsThe Internal Revenue Service wants to develop regulations explaining how employers and retirement plan advisors should implement new defined contribution plan investment diversification rules.Members of ...
January 04, 2008
SEC Notes Lack Of International Insurance StandardsThe U.S. Securities and Exchange Commission has included a discussion of international insurance regulatory efforts in a new final financial report rule.The final rule, which ...
January 04, 2008
SEC Notes Lack Of International Insurance StandardsThe U.S. Securities and Exchange Commission has included a discussion of international insurance regulatory efforts in a new final financial report rule.The final rule, which ...
January 03, 2008
GAO Tells SEC to Increase Oversight of SROsThe Government Accountability Office (GAO) recently told the SEC to beef up its oversight of self-regulatory organizations (SROs) by establishing a written framework for conducting SRO inspections, expanding the use of SRO internal review products, and enhancing information technology to improve the SEC's ability to track and analyze SROs' implementation...