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.
August 31, 2005
Feds To Require Electronic 5500 FilingThe U.S. Employee Benefits Security Administration has proposed a regulation that would require plans to file Form 5500 Series benefit plan tax returns electronically ...
August 31, 2005
SEC Approves NASD Branch Office Registration RuleThe U.S. Securities and Exchange Commission has approved a proposal that could force broker-dealers affiliated with life insurers to register more offices as branch ...
August 30, 2005
SIA Defends Need For Consumer Rule Compliance EtensionThe Securities Industry Association says financial services companies really do need extra time to comply with new federal financial planning and discretionary brokerage rules.[@@]The ...
August 29, 2005
IRS Squares Off With Court Over ESOP DividendsThe Internal Revenue Service is fighting the 9th U.S. Circuit Court of Appeals over the deductibility of some dividends that employers pay to employee ...
August 29, 2005
IRS Develops 5-Year Determination Letter ProgramThe Internal Revenue Service has developed a benefit plan review schedule that could affect the calendars of insurers, benefit plan advisors and employers for ...
August 29, 2005
IRS Releases Final 412(i) Valuation RegulationsThe Internal Revenue Service has completed regulations that are supposed to keep employers and insurers from playing games with the values of life insurance ...
August 29, 2005
IRS Tells HSA Sponsors How To Divvy FundsThe Internal Revenue Service wants to keep employers from using the new health savings account programs to favor some employees over others.[@@]The IRS has ...
August 24, 2005
IRS Fights Court Ruling Over ESOP DividendsThe Internal Revenue Service is fighting the 9th U.S. Circuit Court of Appeals over the deductibility of some dividends that employers pay to employee ...
August 17, 2005
IRS Develops 5-Year Determination Letter ProgramThe Internal Revenue Service has developed a benefit plan review schedule that could affect the calendars of insurers, benefit plan advisors and employers for ...
August 10, 2005
IRS Publishes Mutual Life Insurer Ta RateThe Internal Revenue Service has set the 2004 differential earnings tax rate for mutual life insurers at 0% and come up with a recomputed ...