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.
NUMEROLOGY
By Staff WriterDuring the 2003-2004 election cycle, the Financial Planning Association's Political Action Committee (PAC) contributed $5,000 to federal candidates, according to Federal Election Commission. Among PACs...
May 24, 2006
IRS Panel To Address Nonprofit Plan RegsAn Internal Revenue Service advisory group is about to hear a working group's views on improving the document compliance program for 403(b) retirement plans.The advisory ...
May 14, 2006
Steer The TrainTake a deep breath. An optional federal charter for insurers--or any other legislation impinging on state regulation--will not be enacted this year. Beyond that, in ...
May 09, 2006
UnumProvident Announces SubpoenaA large disability insurer says the U.S. Securities and Exchange Commission is asking for information about certain reinsurance arrangements.UnumProvident Corp., Chattanooga, Tenn., says in its ...
May 09, 2006
IRS Allows IRA Marital Trust ArrangementsAn official at the Internal Revenue Service has approved 3 arrangements that involve payments of individual retirement account assets once held by a dead spouse ...
May 09, 2006
How John Doe Can Write To The IRSThe Internal Revenue Service has revised its retirement plan repair guide.The guide, published today on the IRS Web site as Revenue Procedure 2006-27, spells out ...
May 02, 2006
R-IPOF? SEC Charges Ohio Fund Manager with FraudCLEVELAND (HedgeWorld.com)--Another Buckeye State investment firm has caught the eye of the Securities and Exchange Commission, which filed a complaint in U.S. District Court against David A. Dadante, 52, alleging seven counts of securities fraud in relation to the IPOF Fund, managed by Mr. Dadante since 1999. Mr. Dadante, according...
May 01, 2006
Getting Educated on SOXThe Act is on Competence Software's site: www.sarbanesoxleysimplified.com For an online forum on SOX, www.sarbanes-oxley-forum.com The SEC has FAQs about SOX at www.sec.gov/spotlight/sarbanes-oxley.htm A "vendor neutral" site...