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.
Generali Wins Dismissal Of Holocaust-Era Claim Suits
By Staff WriterNU Online News Service, Oct. 14, 2004, 7:34 p.m. EDTA U.S. District Court judge in New York has thrown out 20 lawsuits dealing with ...
October 08, 2004
RS Investments Settles With RegulatorsOct. 6, 2005 -- RS Investment Management LP will pay $25 million to settle Securities and Exchange Commission charges that the company permitted rapid-fire trading...
September 30, 2004
The SEC One Year After The Canary ScandalThis September marks the one-year anniversary of the settlement of late trading and market timing charges against hedge fund manager Canary Capital Partners.That case, first ...
September 30, 2004
The Suitability Requirement In The Sale And Regulation Of VAsThe Suitability Requirement In The Sale And Regulation Of VAsVariable annuities currently constitute more than $1 trillion in assets and are the fastest growing product ...
September 27, 2004
Anti-Farallon Student Coalition Submits HF Comments to SECNEW HAVEN, Conn. (HedgeWorld.com)--The campus-based coalition that has demanded hedge fund Farallon Capital Management LLC provide greater disclosure of its investments filed a comment letter with the Securities and Exchange Commission urging registration of hedge fund managers as investment advisers. The group, which calls itself the Unfarallon coalition, submitted the...
September 21, 2004
SEC May Sue AIGThe U.S. Securities and Exchange Commission has warned American International Group Inc. and a subsidiary that it may sue the firms in connection with ...
September 20, 2004
SEC: Put Information Disposal Rules In WritingThe U.S. Securities and Exchange Commission wants investment advisors and other companies it regulates to put their procedures for disposing of personal consumer report ...
September 17, 2004
Comment Period Ends: Leaving Something from EverybodyWASHINGTON (HedgeWorld.com)--Despite calls for extension, the Securities and Exchange Commission has let the clock run out on the comment period for its proposed rule requiring most hedge funds to register as investment advisers. A comment from the National Futures Association proposed that any final SEC rule exclude from its coverage...