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.
RS Investments Settles With Regulators
By Staff WriterOct. 6, 2005 -- RS Investment Management LP will pay $25 million to settle Securities and Exchange Commission charges that the company permitted rapid-fire trading...
September 27, 2004
Anti-Farallon Student Coalition Submits HF Comments to SECNEW HAVEN, Conn. (HedgeWorld.com)--The campus-based coalition that has demanded hedge fund Farallon Capital Management LLC provide greater disclosure of its investments filed a comment letter with the Securities and Exchange Commission urging registration of hedge fund managers as investment advisers. The group, which calls itself the Unfarallon coalition, submitted the...
September 21, 2004
SEC May Sue AIGThe U.S. Securities and Exchange Commission has warned American International Group Inc. and a subsidiary that it may sue the firms in connection with ...
September 20, 2004
SEC: Put Information Disposal Rules In WritingThe U.S. Securities and Exchange Commission wants investment advisors and other companies it regulates to put their procedures for disposing of personal consumer report ...
September 17, 2004
Comment Period Ends: Leaving Something from EverybodyWASHINGTON (HedgeWorld.com)--Despite calls for extension, the Securities and Exchange Commission has let the clock run out on the comment period for its proposed rule requiring most hedge funds to register as investment advisers. A comment from the National Futures Association proposed that any final SEC rule exclude from its coverage...
September 15, 2004
Debate On SOX Model Reg ContinuesByRegulators continue to say that stronger financial reporting requirements make good sense and that insurers should embrace a model regulation that achieves that goal.In response, ...
September 13, 2004
IRS Proposes Determination Letter ScheduleNU Online News Service, Sept. 13, 2004, 5:22 p.m. EDTThe Internal Revenue Service has proposed a new schedule for evaluating whether employee retirement plans ...
September 13, 2004
IRS Approves Use of 2001 CSO TablesThe Internal Revenue Service has given official permission for taxpayers to use the 2001 Commissioners' Standard Ordinary mortality and morbidity tables.[@@]Taxpayers can use the ...