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.
Feds Update Plan Reporting Procedures
By Staff WriterThe U.S. Department of Labor and the Internal Revenue Service are continuing to update the filing rules for benefit plans and for a variety of ...
November 14, 2007
Shorter Prospectuses May Be ComingThe SEC will announce a proposal as the first agenda item at its open meeting on Nov. 15 that would allow mutual fund companies to provide a "short-form" prospectus of as little as two pages to potential investors. The Commission's intent is to "improve mutual fund disclosure" by having companies...
November 13, 2007
IRS Establishes Authority To Write COLI Reporting RulesThe Internal Revenue Service has issued temporary regulations needed to implement new corporate-owned life insurance reporting procedures.The Pension Protection Act of 2006 created a section ...
November 13, 2007
IRS Establishes Authority To Write COLI Reporting RulesThe Internal Revenue Service has issued temporary regulations needed to implement new corporate-owned life insurance reporting procedures.The Pension Protection Act of 2006 created a section ...
November 12, 2007
409A is the Law ... Now What?In the world of nonqualified deferred compensation, there's a new sheriff in town named 409A. It took a while for this law to make itself clear, but at the end of this coming year...
November 11, 2007
409A is the Law ... Now What?In the world of nonqualified deferred compensation, there's a new sheriff in town named 409A. It took a while for this law to make itself clear, but at the end of this coming year...
November 11, 2007
New York Proposes Guidelines For Principles-Based RegulationNew York has issued a draft of a proposal that would establish a foundation on which to build a system of principles-based state regulation.Proposed Regulation ...
November 11, 2007
New York Proposes Guidelines For Principles-Based RegulationNew York has issued a draft of a proposal that would establish a foundation on which to build a system of principles-based state regulation.Proposed Regulation ...