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.
Agency Elevates Official Who Oversaw Boston Investigations
By Staff WriterThe U.S. Securities and Exchange Commission has promoted Peter Bresnan to deputy director of the division of enforcement.[@@[Bresnan has been serving as an associate ...
October 27, 2005
IRS Settlement Program CouldThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 27, 2005
IRS Settlement Program Could Affect Small DB PlansThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 19, 2005
IRS Settlement Program Could Affect 412(i) Plans And OthersThe Internal Revenue Service is trying to get some users of 412(i) defined benefit pension plans and 20 other tax-cutting vehicles to come to ...
October 12, 2005
Data Theft Victims Might Get Free Credit Report AccessA new House bill could establish national data security standards for financial services firms.[@@]Rep. Deborah Pryce, R-Ohio, the lead sponsor of the bill, H.R. ...
October 07, 2005
Regulators To Waive Advisor Registration System FeesThe sponsors of a national database that tracks individual investment advisors and investment advisory firms say they plan to give advisors a break on ...
October 01, 2005
Tax Resources on the InternetFor many advisors, especially those who are not accountants by trade or education, the federal tax code with its constant updates and private letter rulings...
September 28, 2005
Employee Benefit Captives Momentum BuildingFire xx--Slug--go page xx, with --184 linesThe Columbia Energy case paved the way, but what's the holdup?Anecdotal evidence suggests that there are inefficiencies in ...