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.
First Rate?
By Marlene Y. SatterWeiss Ratings wonders whether SEC-sanctioned ratin
December 29, 2002
Smaller World Requires More Efficient Accounting And RegulationByNew York Is it really a small world, after all?Executives say that in terms of insurance the world is getting there, and given that movement, ...
December 29, 2002
The IRS Provides Advice For Investors With LossesThe IRS Provides Advice For Investors With LossesOverall, this year has been a mixed bag for shareholders. Descending market averages have plagued investors for the ...
December 12, 2002
SEC Calls For More Data on FundsDec. 11, 2002 -- The Securities and Exchange Commission today proposed rules requiring mutual fund companies to provide more information about fund expenses and portfolio...
December 09, 2002
SEC Charges College Student with Fraud in Most RecBLOOMFIELD HILLS, Mich. (HedgeWorld.com)--Ryan J. Fontaine was charged with fraud by the Securities and Exchange Commission after shares in the hedge fund he created were...
December 05, 2002
Guide Assists With Summary Plan DescriptionsNU Online News Service, Dec. 5, 9:48 a.m. -- Online Benefits Inc., Uniondale, N.Y., has added an electronic guide to its Benergy benefits communications ...
December 02, 2002
AMS Acquires Texas CompanyNU Online News Service, Dec. 2, 9:09 a.m. -- AMS Services Inc., Windsor, Conn., a company that develops insurance distribution software, says it has ...
November 08, 2002
Administrative Proceedings to Be Scheduled AgainstWASHINGTON (HedgeWorld.com)--The Securities and Exchange Commission is scheduling public administrative hearings against hedge fund managers Paul J. House and Brandon R. Moore. The proceedings are based...