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 Cost of Compliance
By Kate McBrideThe securities industry spent about $25 billion on compliance in 2005, up from $13 billion in 2003, while firms spent an average of 13.1% of...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 16, 2006
ACLI Objects To SEC Market Timing ProposalLife insurers are concerned that a regulation proposed by the Securities and Exchange Commission to curb abusive market timing will put variable annuities at a ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 13, 2006
ACLI To SEC: Use Different Tool To Slow TradingLife insurers say a redemption fee proposal is the wrong hammer to use to fix the investment fund market-timing problem.The U.S. Securities and Exchange Commission ...
April 09, 2006
GAO Says 5% Of Federal Employees Signed Up For LTC PlanIn its first three years, the Federal Long Term Care Insurance Program has had less participation than originally projected, but claims submitted under the program ...
April 09, 2006
GAO Says 5% Of Federal Employees Signed Up For LTC PlanIn its first three years, the Federal Long Term Care Insurance Program has had less participation than originally projected, but claims submitted under the program ...
April 03, 2006
Hedge Fund Denies SEC AllegationsSAN FRANCISCO (HedgeWorld.com)--The in-house legal counsel to Global Crown Capital LLC is publicly denying the Securities and Exchange Commission's fraud allegations against Global Crown's Cogent Capital Management hedge fund. Yesterday, the SEC made public its cease-and-desist order proceedings against the hedge fund and its owners, charging that the hedge fund...