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.
MONY Hires Compliance Chief
By Staff WriterNU Online News Service, Jan. 6, 5:15 p.m. -- The MONY Group Inc., New York, has hired Jay Cohen to be its chief compliance ...
December 12, 2002
SEC Calls For More Data on FundsDec. 11, 2002 -- The Securities and Exchange Commission today proposed rules requiring mutual fund companies to provide more information about fund expenses and portfolio...
December 09, 2002
SEC Charges College Student with Fraud in Most RecBLOOMFIELD 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...
December 05, 2002
Guide Assists With Summary Plan DescriptionsNU Online News Service, Dec. 5, 9:48 a.m. -- Online Benefits Inc., Uniondale, N.Y., has added an electronic guide to its Benergy benefits communications ...
December 02, 2002
AMS Acquires Texas CompanyNU Online News Service, Dec. 2, 9:09 a.m. -- AMS Services Inc., Windsor, Conn., a company that develops insurance distribution software, says it has ...
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...