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.
ICI Asks SEC To Tighten Regulations
By Staff WriterNU Online News Service, Dec. 15, 2003, 10:52 a.m. EST -- The Investment Company Institute, Washington, says it will ask the U.S. Securities and ...
December 05, 2003
SEC Official Calls For Hedge Fund RegistrationNU Online News Service, Dec. 5, 2003, 7:54 a.m. EST -- A member of the U.S. Securities and Exchange Commission is recommending that the ...
December 04, 2003
SEC Proposes Rules To Fight Fund AbusesNU Online News Service, Dec. 4, 2003, 5:19 p.m. EST -- The U.S. Securities and Exchange Commission took steps Wednesday to fight late trading, ...
December 03, 2003
IRS Sets 2004 LTC And MSA Inflation AdjustmentsNU Online News Service, Dec. 3, 2003, 11:53 a.m. EST -- The Internal Revenue Service has announced the new, inflation-adjusted amounts for certain items ...
December 02, 2003
IRS Rules On Reserve Interest CalculationsNU Online News Service, Dec. 2, 2003, 6:05 p.m. EST -- A new Internal Revenue Service ruling could change the amount of taxes that ...
November 19, 2003
SEC, NASD Okay Actions Against American Express foNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 17, 2003
Evergreen Omega Likes Steady EddiesNovember 14, 2003 -- American Express (AXP) reported that the Securities and Exchange Commission and the National Association of Securities Dealers has preliminarily recommended enforcement...
November 17, 2003
Putnam and SEC Reach Agreement on Market-Timing ChNov. 13, 2003 -- Putnam Investment Management said it reached an agreement with the Securities and Exchange Commission to settle the market-timing allegations made against...