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 Issues
By Allison BellRulings On HSAs, HRAsByThe Internal Revenue Service has come out with two rulings of interest to insurance agents and brokers with an interest in the ...
April 12, 2005
Industry Execs Tell SEC About Cost Of SOXChief financial officers at 2 insurers agree that complying with Section 404 of the Sarbanes-Oxley Act costs far more than it should.[@@]Patrick Erlandson, CFO ...
April 11, 2005
IRS Issues Life Contract Valuation GuidanceThe Internal Revenue Service has responded to industry questions by spelling out rules for valuing life insurance policies held within qualified retirement plans.[@@]The IRS ...
April 08, 2005
Court To AIG And Greenberg: Hands Off DocumentsThe U.S. Securities and Exchange Commission has taken legal action to protect information that officials believe may be relevant to the SEC investigation of ...
April 07, 2005
Feds May Erase Line Between Advisors And B-DsMembers of the U.S. Securities and Exchange Commission voted unanimously Wednesday at an open meeting to give broker-dealers more freedom to shift to fee-based ...
April 06, 2005
Feds Ease Process For Fixing Benefit Plan ErrorsThe U.S. Department of Labor has developed a standard form and a Web-based tool for employers who want to report benefit plan administration errors.[@@]The ...
April 06, 2005
EBSA Posts Guide To UnumProvident SettlementNU Online News Service, April 6, 2005, 4:02 p.m. EDTThe Employee Benefits Security Administration has posted answers on Web to "frequently asked questions" about ...
April 06, 2005
IRS Rules Against Efforts To Tinker With HRA DesignsEmployers and their benefits advisors may have to give up on some efforts to make certain kinds of personal health accounts a better deal ...