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.
Vanguard Offers New Fund Expense Data
By Staff WriterOct. 22, 2003 -- Vanguard Group, the nation's second largest mutual fund company, said it has adopted a proposal by the Securities and Exchange Commission...
October 17, 2003
Millennium Executive Pleads GuiltyNEW YORK (HedgeWorld.com)?Steven B. Markovitz a former executive and senior trader with Millennium Partners LP today pleaded guilty to a violation of New York?s Martin...
October 17, 2003
Hedge Fund Advisers Should Register, SEC Report SaWASHINGTON (HedgeWorld.com)?The U.S. Securities and Exchange Commission released its long-anticipated report on hedge funds, recommending that hedge fund advisers be required to register with the...
October 17, 2003
SEC May Exempt from Registration Managers That CatNEW YORK (HedgeWorld.com)--Debate is under way over the recent recommendation by Securities and Exchange Commission staff to require hedge fund managers to register as investment...
October 16, 2003
The Final Split-Dollar RegulationsWhat To Do?The Final Split-Dollar Regulations-- What To Do?In the next few months, how should agents analyze split-dollar arrangements that existed before Jan. 28, 2002?Those are the ...
October 16, 2003
Experts See Split-Dollar OpportunitiesByWith the Treasury Departments release of final regulations covering split-dollar, many producers are trying to figure out what to do with clients who have existing ...
October 08, 2003
Aetna Introduces Card-Based FSA AdministrationNU Online News Service, Oct. 8, 2003, 2:43 p.m. EST -- Aetna Inc., Hartford, has introduced an automated debit card system for drawing on ...
October 02, 2003
Where Is Do-Not-Call This Week?ByWashington The Federal Communication Commissions do-not-call rules remain in effect and are being enforced to the greatest extent possible, says FCC Chairman Michael K. Powell.However, ...