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.
The Uptick Rule's Long Goodbye Gets Longer
By Staff WriterWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has delayed the start of pilot program for the suspension of the "uptick rule" for short sales. The pilot, established by the SEC on July 28 (see Previous HedgeWorld Story) and previously scheduled to commence on Jan. 3, 2005, will formally suspend the provisions...
December 10, 2004
SEC Posts Final Hedge Fund Advisor RegulationsFederal regulators have completed work on controversial regulations meant to bring more oversight to the world of hedge funds.[@@]The U.S. Securities and Exchange Commission ...
December 06, 2004
SEC Releases Final Hedge Fund Rule, with No SurprisesWASHINGTON (HedgeWorld.com)--Little differs between the proposals the Securities and Exchange Commission originally made regarding its regulation of hedge fund managers and the final rule it just published Little, perhaps, except for the lengthy documentation providing the agency's reasoning behind its new rule 203 (b)(3)-2 and accompanying the final rule. In...
December 06, 2004
Regulators To Ask IRS About ReservingThe National Association of Insurance Commissioners has voted to talk to the U.S. Treasury Department about tax issues affecting insurers.[@@]A tax talk motion passed ...
December 02, 2004
IRS: A Web Trade Show Is Not A Trade ShowA new ruling from the Internal Revenue Service could affect tax-exempt insurance groups that sponsor Web-based trade shows and seminars.[@@]The federal government cannot tax ...
November 23, 2004
NCOIL Comes Out Against Federal Standards LegislationNCOIL Comes Out Against Federal Standards LegislationByDuck Key, Fla.The National Conference of Insurance Legislators officially came out against proposed federal legislation aimed at creating national ...
November 23, 2004
IRS Asked To Review Cost Basis Ruling On Demutualization PayoutsIRS Asked To Review Cost Basis Ruling On Demutualization Payouts An accountant who challenges the IRS says it will close its probe of himBy Arthur ...
November 22, 2004
NCOIL Slams Federal Standards LegislationThe National Conference of Insurance Legislators has officially come out against proposed federal insurance regulatory reform legislation.[@@]NCOIL President Steve Geller, a Democratic member of ...