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 Sues Ohio Hedge Fund
By Staff WriterCOLUMBUS, 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 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 ...
October 04, 2002
NAIFA Backs Federal Regulation OptionNU Online News Service, Oct. 4, 9:58 a.m. -- WashingtonThe National Association of Insurance and Financial Advisors, Falls Church, Va., says it now supports ...
September 24, 2002
LOMA, LIMRA To Host Compliance ConferenceNU Online News Service, Sept. 24, 12:11 p.m. -- LOMA, Atlanta, and LIMRA, Windsor, Conn., will be sponsoring a Compliance and Market Conduct Exchange ...
September 24, 2002
Instinet's Filing Means Another Delay for SuperMonWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission has effectively delayed the launch of Nasdaq's SuperMontage until the middle of October, in order to avoid allowing Nasdaq...
September 22, 2002
New SEC Rule Accelerates Financial Reporting DeadlinesNew SEC Rule Accelerates Financial Reporting Deadlines ByThe U.S. Securities and Exchange Commission published a final rule last week requiring publicly traded companies to speed ...
September 16, 2002
SEC Accelerates Financial Reporting DeadlinesNU Online News Service, Sept. 16, 5:15 p.m. -- The U.S. Securities and Exchange Commission today published a final rule requiring publicly traded companies ...
September 11, 2002
IRS Postpones 419 Plan HearingNU Online News Service, Sept. 11, 4:44 p.m. -- The federal Internal Revenue Service has rescheduled a public hearing on "10 or more employer ...