Provided below is information on activities of the Internal Revenue Service, Department of Labor, and Securities and Exchange Commission.

 

   Archive of Published Guidance.

[Internal Revenue Service]

 

   January 19, 2010, Towers Watson, Legislative Tracking Chart.

[Retirement and Executive Compensation]

 

   December 2008, ERISA for Securities Professionals .

[ERISA Article]

 

   May 12, 2009, IRA Myth Article by Richard K Matta.

[Self Directed IRA Myths]

  

DEPARTMENT OF LABOR

 

    On July 23, 2008, the DOL issued a proposed regulation setting forth fiduciary requirements for disclosure in participant-directed individual account plans. 

[Participant Disclosure Prop Reg]

 

SECURITIES AND EXCHANGE COMMISSION

 

   SEC Seniors Summit Initiative - Stopping Investment Scams Against Senior Citizens 

[Press Release.]

 

 

Federal Regulatory Agencies

DOL

United States Department of Labor

FDIC

Federal Deposit Insurance Corporation

FIRMA

The Fiduciary & Investment Risk Management Association

IRS

Internal Revenue Service

OCC

Office of the Comptroller of the Currency

OTS

Office of Thrift Supervision

 

 

State Regulatory Agencies

AZ

Department of Financial Institutions

CA

Department of Financial Institutions

CO

Department of Regulatory Agencies

FL

Office of Financial Regulation

IL

Department of Financial and Professional Regulation

KS

Office of the State Banking Commissioner

MO

Division of Finance

SD

Division of Banking

NV

Division of Financial Institutions

TX

Department of Banking

 
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