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 Updates Plan Correction Program Advice
By Staff WriterThe Internal Revenue Service has released new guidelines for fixing employee benefit plan problems.The new guidance, which appears in IRS Revenue Procedure 2008-50, affects plan ...
August 05, 2008
IRS Awards Plan Agent Tester ContractThe Internal Revenue Service has chosen a company created by the American Society of Pension Professionals & Actuaries and the National Institute of Pension Administrators ...
August 03, 2008
IRS Completes Annuity Conversion RegsThe Internal Revenue Service has published final regulations concerning moves to convert individual retirement account annuities into Roth IRAs.Like the proposed regulations, which were issued ...
August 03, 2008
6-Month Life Settlement Outlook: More Growth, More RegulationThe life settlement market will continue to expand and evolve in the second half of 2008.Since the business emerged in the early 1990s, life settlements ...
August 03, 2008
IRS Completes Annuity Conversion RegsThe Internal Revenue Service has published final regulations concerning moves to convert individual retirement account annuities into Roth IRAs.Like the proposed regulations, which were issued ...
August 03, 2008
6-Month Life Settlement Outlook: More Growth, More RegulationThe life settlement market will continue to expand and evolve in the second half of 2008.Since the business emerged in the early 1990s, life settlements ...
August 01, 2008
FINRA cracking down on use of ghostwritten materialAre you providing clients with published information about investing that you didn't actually write? Then watch out. FINRA has just released a regulatory notice warning member firms of their obligation to supervise representative use of
August 01, 2008
The great SEC debateAs I write this, it's been a couple of weeks since the Securities and Exchange Commission voted 3-0 to define equity indexed annuities as securities and I have noticed something pretty quickly: whichever side of this debate you've taken,