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 Lets Nonprofits Cut Some Workers From 401(k) Testing
By Kimberly ParentThe Internal Revenue Service is loosening antidiscrimination requirements for organizations that offer 401(k) retirement plans to some employees and 403(b) plans to others.The new regulations, ...
July 18, 2006
SEC Has Done Softers a FavorThe president of a consulting firm that assists asset managers (for hedge funds and others) in tracking and optimizing the value of their soft-dollar commissions said July 13 that he believes the use of such commissions will expand in the years to come.
July 16, 2006
Sides Split On Direction Of Preferred Mortality TableWork on a draft regulation for a preferred mortality table is creating disagreement over whether the best approach is to continue with efforts to develop ...
July 16, 2006
SEC's Withdrawal Of 'No-Action' Letter Confuses IndustryIn the early days of variable annuities (the late 1970s and early 1980s), nontraditional salespeople began selling products previously thought to be in the exclusive ...
July 16, 2006
Sides Split On Direction Of Preferred Mortality TableWork on a draft regulation for a preferred mortality table is creating disagreement over whether the best approach is to continue with efforts to develop ...
July 16, 2006
SEC's Withdrawal Of 'No-Action' Letter Confuses IndustryIn the early days of variable annuities (the late 1970s and early 1980s), nontraditional salespeople began selling products previously thought to be in the exclusive ...
July 16, 2006
Bipartisan Support Emerging For Federal Role In Insurance RegulationAs it was preparing to hear the views of the Bush administration on the issue July 18, the Senate Banking Committee last week signaled a ...
July 16, 2006
Bipartisan Support Emerging For Federal Role In Insurance RegulationAs it was preparing to hear the views of the Bush administration on the issue July 18, the Senate Banking Committee last week signaled a ...