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.
Group Think
By Staff WriterThe Financial Planning Association (FPA) told the U.S. Court of Appeals for the D.C. Circuit on June 1 that although it does not oppose the...
June 28, 2007
IRS Publishes Charitable Lead Annuity Trust SamplesThe Internal Revenue Service has released two batches of guidance of interest to advisors in the charitable planning market.The new revenue procedure documents provide annotated ...
June 27, 2007
Commenters Clash Over FMLA Intermittent Leave RulesEmployers say some reasonably healthy workers are using the federal Family and Medical Leave Act regulations to fine-tune their schedules.U.S. Department of Labor officials have ...
June 27, 2007
Commenters Clash Over FMLA Intermittent Leave RulesEmployers say some reasonably healthy workers are using the federal Family and Medical Leave Act regulations to fine-tune their schedules.U.S. Department of Labor officials have ...
June 27, 2007
Commenters Clash Over FMLA Intermittent Leave RulesEmployers say some workers exploit the federal Family and Medical Leave Act regulations to adjust their schedules in ways that are unfair to employers and ...
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 26, 2007
SEC Announces Shelf Space SettlementFederal regulators have imposed $19 million in penalties on mutual fund and variable annuity units of a large financial services company.The U.S. Securities and Exchange ...
June 26, 2007
IRS: Location Shutdown Triggers Partial Plan TerminationIf a defined contribution plan sponsor shuts down a location and jettisons 23% of its employees, that move constitutes a partial termination of the plan.Ingrid ...