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.
IRS Issues Guidance On Partial 1035 Exchanges Of Annuities
By Joseph F. StenkenIRS Issues Guidance On Partial 1035 Exchanges Of AnnuitiesThe IRS has issued guidance on partial 1035 exchanges of annuities and also has said it is ...
November 04, 2003
Putnam Investments Hires New ChiefNov. 3, 2003 -- Charles E. Haldeman has been named president and chief executive officer of Putnam Investments LLC, replacing Lawrence J. Lasser, who will...
November 04, 2003
SEC Charges Friedlander Second TimeNEW YORK (HedgeWorld.com)--The U.S. Securities and Exchange Commission amended its complaint against Burton G. Friedlander and related companies to include allegations of a US$2 million...
November 03, 2003
Vanguard Offers New Fund Expense DataOct. 22, 2003 -- Vanguard Group, the nation's second largest mutual fund company, said it has adopted a proposal by the Securities and Exchange Commission...
October 30, 2003
Pickens Reflects On The Call By Some For Federal RegulationTo The Editor: For the last three years as a National Association of Insurance Commissioners officer and now president, I have sought to understand why ...
October 20, 2003
Veras Gets Fred Alger Subpoena; Other Firms May BeSUGAR LAND, Texas (HedgeWorld.com)--Veras Investment Partners was identified as a mutual fund market timer involved with Fred Alger Management & Co. Inc. executive James P....
October 17, 2003
Millennium Executive Pleads GuiltyNEW YORK (HedgeWorld.com)?Steven B. Markovitz a former executive and senior trader with Millennium Partners LP today pleaded guilty to a violation of New York?s Martin...
October 17, 2003
Hedge Fund Advisers Should Register, SEC Report SaWASHINGTON (HedgeWorld.com)?The U.S. Securities and Exchange Commission released its long-anticipated report on hedge funds, recommending that hedge fund advisers be required to register with the...