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.
A Whole New Meaning
By Staff WriterHow new sentencing guideline amendmentswill impact health care senior management Directors and high-level personnel shall be required to establish, exercise reasonable oversight and take an ...
November 10, 2004
GAO: Unifying Financial Regulation Might Be HardCongress should consider creating an entity that would oversee "complex, internationally active" financial services companies but leave most of the current regulatory system in ...
November 08, 2004
PBGC Survey To Study Zombie PlansThe 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 04, 2004
Uncle Sam Reviews Benefit Plan Tax FormThe federal government is asking members of the public for comments on ways to improve the employee benefit plan tax form.[@@]The U.S. Department of ...
November 03, 2004
Bankers Say Insurance Regulation Needs Major OverhaulBankers Say Insurance Regulation Needs Major OverhaulWashingtonBankers believe major changes are needed in insurance regulation in order to make the industry more efficient and that ...
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...