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 Compliance Guide to the Investment Advisers Act of 1940
By Staff WriterPart 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 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 ...
October 08, 2004
RS Investments Settles With RegulatorsOct. 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 30, 2004
The SEC One Year After The Canary ScandalThis September marks the one-year anniversary of the settlement of late trading and market timing charges against hedge fund manager Canary Capital Partners.That case, first ...
September 30, 2004
The Suitability Requirement In The Sale And Regulation Of VAsThe Suitability Requirement In The Sale And Regulation Of VAsVariable annuities currently constitute more than $1 trillion in assets and are the fastest growing product ...
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 ...