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.
CHANGES
By Staff WriterThere have been several comings and goings at the Securities and Exchange Commission. Kathleen Casey was confirmed by the Senate on June 15 to replace...
July 31, 2006
No-Show Hedge Fund Faces Court Judgment, FinesWALTHAM, Mass. (HedgeWorld.com)--A hedge fund manager has been ordered to pay $21 million in disgorgement and prejudgment interest following the firm's failure to appear and respond to the Securities and Exchange Commission's allegations. The SEC won a default judgment against the adviser Groundswell Partners LLC, barring the hedge fund firm...
July 28, 2006
IRS Exempts Union Workers From HSA Comparability TestingThe Internal Revenue Service has completed final regulations that explain how employers are supposed to try to make health savings account programs fair to employees.The ...
July 28, 2006
IRS Exempts Union Workers From HSA Comparability TestingThe Internal Revenue Service has completed final regulations that explain how employers are supposed to try to make health savings account programs fair to employees.The ...
July 27, 2006
House Panel OKs Reinsurance Regulation BillThe House Financial Services Committee agreed by a voice vote Wednesday to approve a measure that could make regulation of reinsurers and surplus lines coverage ...
July 24, 2006
Money Manager Settles SEC Market-Timing CaseA Kansas fund company has agreed to pay a total of $57 million to settle investigations concerning allegations that the company failed to stop speculators ...
July 24, 2006
Money Manager Settles SEC Market-Timing CaseA Kansas fund company has agreed to pay a total of $57 million to settle investigations concerning allegations that the company failed to stop speculators ...
July 21, 2006
IRS Lets Nonprofits Cut Some Workers From 401(k) TestingThe Internal Revenue Service is loosening antidiscrimination requirements for organizations that offer 401(k) retirement plans to some employees and 403(b) plans to others.The new regulations, ...