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.
NCOIL Comes Out Against Federal Standards Legislation
By Steve TuckeyNCOIL Comes Out Against Federal Standards LegislationByDuck Key, Fla.The National Conference of Insurance Legislators officially came out against proposed federal legislation aimed at creating national ...
November 16, 2004
Senator: Break Up Big Market Share ConcentrationsAt least one member of Congress is questioning the insurance industry's exemption from federal anti-trust laws.[@@]Sen. Peter Fitzgerald, R-Ill., the senator who convened ...
November 12, 2004
SEC Takes On America's Hedge FundBROOKLYN, N.Y. (HedgeWorld.com)--How could you go wrong with a name like America's Hedge Fund LLC? Easily, it turns out. A U.S. District Court judge in Brooklyn holds a hearing Tuesday [Nov. 9] to consider granting a preliminary injunction against Christian Kuretski, operator of America's Hedge Fund LP, and Worldwide Partners...
November 12, 2004
Regulators Ask Hartford Unit About Fund PracticesNU Online News Service, Nov. 12, 2004, 5:33 p.m. ESTThe U.S. Securities and Exchange Commission has started asking questions about use of "directed brokerage" ...
November 12, 2004
Boston Man's Alleged Trail of Deception May Reach an EndBOSTON (HedgeWorld.com)--For the past 10 years, Treyton L. Thomas has moved through life claiming to be a fabulously successful hedge fund manager, dispenser of political wisdom, philosopher, ace student and fountain of business insight. But according to civil charges filed Nov. 1 by the Securities and Exchange Commission, Mr. Thomas...
November 10, 2004
Pros and Cons To Unifying Financial Regulation: GAOPros And Cons To Unifying Financial Regulation: GAOByCongress should consider creating an entity that would oversee "complex, internationally active" financial services companies but leave most ...
November 10, 2004
IRS Proposal Would Help Older Workers Slow DownThe Internal Revenue Service is moving ahead with efforts to adapt to the new "phased retirement" movement.[@@]The IRS wants to adjust the way tax ...
November 10, 2004
A Whole New MeaningHow new sentencing guideline amendmentswill impact health care senior management Directors and high-level personnel shall be required to establish, exercise reasonable oversight and take an ...