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.
Parent of Thomas Weisel Asset Management Settles SEC Charges
By Staff WriterSAN FRANCISCO (HedgeWorld.com)--Thomas Weisel Partners LLC, a brokerage firm and investment bank, concluded a settlement with the Securities and Exchange Commission resolving charges that relate to the inappropriate influence allegedly exerted by its investment bankers upon its research analysts. The SEC's complaint alleged that Thomas Weisel Partners analysts participated in...
September 03, 2004
IRS Proposes Changes To GST Predeceased Parent RuleThe Internal Revenue Service has proposed a rule that could affect interpretation of the "predeceased parent rule."[@@]The proposed regulation would affect financial advisors who ...
August 26, 2004
Survey To Assess Treatment Of Returning ReservistsNU Online News Service, Aug. 26, 2004, 4:13 p.m. EDTThe federal Veterans' Employment and Training Service is starting a survey program to measure employer ...
August 24, 2004
What Is A Small Company?Insurers and regulators are still talking about the definition of "small company" in a draft model regulation that could affect insurance company financial reporting ...
August 24, 2004
IRS Proposes Generation-Skipping Trust RegulationThe Internal Revenue Service has proposed a regulation that deals with qualified severance of a trust for generation-skipping transfer tax purposes.[@@]The proposed regulation would ...
August 20, 2004
SEC Asks For More Comments About Fee-Based AdvisorsThe U.S. Securities and Exchange Commission is asking for more advice about how it should treat brokers who get asset-based fees rather than traditional ...
August 18, 2004
Industry Joins Appeal In California Privacy DebateIndustry Joins Appeal In California Privacy DebateThe insurance industry has joined an appeal of a federal court decision that could raise roadblocks and increase the ...
August 11, 2004
Conseco, Inviva Settle With SEC Over Market Timing ChargesConseco, Inviva Settle With SEC Over Market Timing ChargesByConseco Inc. and Inviva Inc. agreed to pay $20 million to settle regulators charges that they helped ...