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.
Compliance Costs Rising
By Staff WriterGREENWICH, Conn. (HedgeWorld.com)--Now that the registration deadline has passed, the real test begins for hedge fund managers, who must comply with the new regulation regime of the Securities and Exchange Commission. Greenwich Associates interviewed 34 hedge fund managers in the U.S. and Europe late last year through early January. They...
February 05, 2006
Insurance Regulation On Senate Panel's AgendaThe state of regulation and military sales practices are the two main life insurance issues the Senate Banking Committee will deal with this year, said ...
February 05, 2006
Insurance Regulation On Senate Panel's AgendaThe state of regulation and military sales practices are the two main life insurance issues the Senate Banking Committee will deal with this year, said ...
February 05, 2006
Final DOL Regulations Critical To Annuities' Future In TQ PlansThe Department of Labor is currently working on final regulations regarding default investment options in tax qualified plans subject to the Employment Retirement Income Security ...
February 05, 2006
Final DOL Regulations Critical To Annuities' Future In TQ PlansThe Department of Labor is currently working on final regulations regarding default investment options in tax qualified plans subject to the Employment Retirement Income Security ...
February 05, 2006
Agent Groups Tell IRS That Section 409A Needs AddressingRepresentatives of life insurance agent groups are telling the Internal Revenue Service that it must further revise Section 409A, which deals with deferred compensation rules, ...
February 05, 2006
IRS Ruling On Trusts And Stretch IRA TreatmentIn a first-of-its-kind private ruling, the Internal Revenue Service permitted an IRA owner to benefit multiple trust beneficiaries of his IRA while retaining the ability ...
February 01, 2006
Schapiro TappedThe NASD Board of Governors announced January 12 that Mary Schapiro will succeed Robert Glauber as chairman and CEO of NASD upon Glauber's completion of...