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.
PBGC Survey To Study Zombie Plans
By Allison BellThe Pension Benefit Guaranty Corp. wants to know more about defined benefit retirement plans that hover between life and death.[@@]The federal pension insurance agency ...
November 02, 2004
SEC Proposed Hedge Fund Adviser Registration: The Industry RespondsOn July 28, 2004, the Securities and Exchange Commission published for comment in Release No. IA-2266 rules to require hedge fund advisers to register with the SEC under the Investment Advisers Act of 1940. The release cited three general areas as the basis for the proposed rule: (1) the growth...
October 29, 2004
Let The FTC Probe Insurers, Says Consumer GroupNU Online News Service, Oct. 29, 2004, 2:10 p.m. ESTCongress should repeal a law that stops the ...
October 26, 2004
Legal Analysis Highlights Need for Clarity in SEC's Hedge Fund RuleNEW YORK (HedgeWorld.com)--Attorneys with the American Bar Association and officials at the Managed Funds Association have challenged key provisions of the SEC's proposal to regulate the hedge fund industry and have argued that some of the proposed rules would actually contradict the SEC's own current interpretation of existing regulations. "The...
October 26, 2004
A Compliance Guide to the Investment Advisers Act of 1940Part III: The Registered Investment Adviser's Relationship with Its Clients This article is the third in a series I have designed to give guidance to managers of hedge funds for complying with regulations proposed by the Securities and Exchange Commission. If the proposed regulations are adopted, they will require the...
October 14, 2004
Generali Wins Dismissal Of Holocaust-Era Claim SuitsNU Online News Service, Oct. 14, 2004, 7:34 p.m. EDTA U.S. District Court judge in New York has thrown out 20 lawsuits dealing with ...
October 13, 2004
IRS Hungry To Tax Demutualization PayoutsIRS Hungry To Tax Demutualization PayoutsWashingtonThe Internal Revenue Service is currently locked in a dispute with a Minnesota accountant who believes the IRS is wrong ...
October 11, 2004
D.C. To 401(k) Plans: Find Your Participants YourselfNU Online News Service, Oct. 11, 2004, 5:20 p.m. EDTThe U.S. Department of Labor is warning sponsors of terminating defined contribution plans against counting ...