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.
SEC Charges College Student with Fraud in Most Rec
By Staff WriterBLOOMFIELD HILLS, Mich. (HedgeWorld.com)--Ryan J. Fontaine was charged with fraud by the Securities and Exchange Commission after shares in the hedge fund he created were...
November 08, 2002
Administrative Proceedings to Be Scheduled AgainstWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission is scheduling public administrative hearings against hedge fund managers Paul J. House and Brandon R. Moore. The proceedings are based...
November 01, 2002
Part 2:Deferred GratificationThe sale of annuities to people who don't need them has been the subject in the press and in the courts. It's old news. So...
October 25, 2002
SEC Considers Administrative Sanctions Against HedNEW YORK (HedgeWorld.com)-- The Securities and Exchange Commission instituted public administrative proceedings against Hoover Capital Management and its owner, Stevin Hoover, for violating the antifraud...
October 15, 2002
SEC Sues Ohio Hedge FundCOLUMBUS, Ohio (HedgeWorld.com)--The Securities and Exchange Commission has started administrative proceedings against hedge fund Sierra Equity Partners LP and its founder John Christopher McCamey. The SEC's...
October 08, 2002
IRS Rejects Retroactive Section 105 Plan ExclusionsNU Online News Service, Oct. 8, 7:15 p.m. -- The Internal Revenue Service has issued a revenue ruling that could cause tax headaches for ...
October 06, 2002
What New IRS Rules Say On Spousal IRA RolloversWhat New IRS Rules Say On Spousal IRA RolloversIn April of this year, the Treasury Department and the Internal Revenue Service issued new regulations addressing, ...
October 06, 2002
NAIFA Backs Congress Acting On Insurance RegulationNAIFA Backs Congress Acting On Insurance RegulationByWashington The nations leading life insurance agents association says it now supports Congressional action to improve and augment the ...