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 Automatic Rollover Guidance
By Allison BellOfficials have released a new batch of guidance for retirement plan administrators who want to close out small accounts owned by departing plan members.[@@]The ...
December 29, 2004
IRS Starts Interpreting New Deferred Comp LawIRS Starts Interpreting New Deferred Comp LawByThe Internal Revenue Service has published its first batch of guidance for taxpayers who are trying to comply with ...
December 29, 2004
HHS Issues Final Regulation On HIPAANU Online News Service, Dec. 29, 2004, 12:25 p.m. ESTThe Department of Health and Human Services has issued its final regulation explaining when workers ...
December 29, 2004
IRS Sued Over Taxation Of Demutualization PayoutsIRS Sued Over Taxation Of Demutualization PayoutsWashingtonA lawsuit has been filed against the Internal Revenue Service in Federal Claims Court in Washington, D.C., seeking a ...
December 22, 2004
SEC Delays Final Decision on Merrill Lynch RuleCommission will re-open comment period; pledges final action by April 15
December 22, 2004
SEC Considers New Broker-Dealer Comp SolutionFederal securities regulators are asking for public comments about a proposal that would give broker-dealers more freedom to shift to fee-based and asset-based compensation ...
December 22, 2004
Feds Ask: When Are Broker-Dealers Advisors?NU Online News Service, Dec. 22, 2004, 10:05 a.m. ESTThe U.S. Securities and Exchange Commission is considering an issue that could affect life insurance ...
December 21, 2004
IRS Starts Interpreting New Deferred Comp LawThe Internal Revenue Service has published its first batch of guidance for taxpayers who are interested in the new Internal Revenue Code Section 409A.[@@]The ...