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.
Congress Acts To Stop Corporate Abuse
By Jeffrey S. Puretz, Thomas C. BogleAfter watching domestic equity markets decline at an alarming pace, insurers and fund managers breathed a sigh of relief as Congress passed the Sarbanes-Oxley Act ...
July 26, 2002
Oxford Settles SEC InvestigationNU Online News Service, July 26, 10:09 a.m. -- Oxford Health Plans Inc., Trumbull, Conn., says it has agreed to pay a $250,000 civil ...
July 22, 2002
CobraPro Opens Nevada OfficeNU Online News Service, July 22, 3:06 p.m. -- CobraPro, Orange, Calif., a benefits compliance administrator, has hired Ruby Warthan to be the regional ...
July 14, 2002
SEC Enforcement Actions Put Spotlight On VA SwitchesSEC Enforcement Actions Put Spotlight On VA SwitchesByThe regulatory spotlight is on variable annuity exchanges, as evidenced by three recent enforcement actions taken by the ...
July 14, 2002
IRS Releases Propsed Split-Dollar RulesIRS Releases Proposed Split-Dollar RulesBy Steven BrostoffWashington The Internal Revenue Service has issued proposed rules on equity split-dollar arrangements that have some practitioners questioning the ...
July 08, 2002
IRS Proposes Big Split-Dollar ChangesNU Online News Service, July 8, 3:45 p.m. -- WashingtonThe Internal Revenue Services has proposed a new rule that could cause headaches for users ...
July 08, 2002
Computer Associates Proxy Battle ContinuesDALLAS (HedgeWorld.com)--Ranger Governance Ltd, part of the hedge fund manager Ranger Capital Group, filed a preliminary proxy statement with the Securities and Exchange Commission on...
July 07, 2002
The SEC Says It Is Striving For Flexibility In Reviewing Substitution ApplicationsThe SEC Says It Is Striving For Flexibility In Reviewing Substitution ApplicationsByWashington The Securities and Exchange Commission staff is trying to be flexible and to ...