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 Completes Charitable Remainder Trust Change
By Staff WriterNU Online News Service, March 16, 2005, 4:35 p.m. ESTFederal officials have released regulations that could affect advisors in the wealth planning and estate ...
February 28, 2005
IRS Narrows Variable Investment Options (Updated)Federal officials have completed regulations that could limit insurers' ability to wrap hedge funds and other "nonregistered" investments in annuity contracts and life insurance ...
February 25, 2005
PBGC Proposes Rules For Facility ClosingsNU Online News Service, Feb. 25, 2005, 4:08 p.m. ESTThe federal pension insurance agency wants to standardize the rules that apply when an employer ...
February 23, 2005
IRS Limits Use Of Life Hedge Fund WrappersByFederal officials have completed regulations that could discourage wealth advisors from wrapping clients stakes in "alternative investments" such as hedge funds inside life insurance and ...
February 23, 2005
Administration Plays Close To Vest On TRIAWashingtonThe Bush administration sent a chill through the insurance industry last week when its designated representative declined to show the administrations hand on the fate ...
February 22, 2005
SEC Moves to Freeze Northshore AssetsCHICAGO (HedgeWorld.com)--In an emergency action filing, the U.S. Securities and Exchange Commission is requesting a freeze on Northshore Asset Management LLC's assets. The commission alleges that the firm committed fraud in diverting US$37 million in two hedge funds. The case follows reported investor complaints and the arrest of former Northshore...
February 22, 2005
SEC Asks For Comments On SOX 404Federal securities regulators want to know what company executives, auditors and others really think about the new internal control disclosure process.[@@]The U.S. Securities and ...