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.
Regulation Blizzard
By Steve TuckeyLegislation out of Washington, often with temporary changes, is keeping small business retirement plans in fluxFor the small business owner looking to provide and ...
July 06, 2005
Ta Officials Ask For Comments On LTC FormThe Internal Revenue Service is seeking comments from the public on Form 1099-LTC, the form that taxpayers use to report benefits from qualified long ...
July 01, 2005
Mini-Sweeps SeasonInvestment advisors and mutual funds are prodding the Securities and Exchange Commission to revamp and curtail its use of its new two-year examination schedule called...
June 30, 2005
SEC Moves Against Tennessee Hedge Fund ManagerKNOXVILLE, Tenn. (HedgeWorld.com)--The Securities and Exchange Commission moved last week to halt the operation of a convertible bond arbitrage hedge fund run by Tenet Asset Management LLC, claiming the fund's principal, Jon E. Hankins, had concealed heavy losses from investors and lied to prospective investors about the fund's performance. A...
June 28, 2005
Panelists Ponder Role Of The CCONewly-empowered compliance officers should focus on ensuring transparency and clearly defining the roles of company officials.[@@]Experts gave that advice here Monday at the opening ...
June 28, 2005
Atkins Calls For Clarity In VA RulemakingThe U.S. Securities and Exchange Commission should tread carefully in establishing disclosures for variable annuities at the point of sale, an SEC commissioners said ...
June 23, 2005
SEC to Hold Open Meeting on Independent Director RuleThe U.S Court of Appeals for the D.C. Circuit ruled June 21 that the SEC violated the Administrative Procedures Act with its rule requiring registered investment companies to have a board composed of at least 75% independent directors and an independent chairman. The court told the SEC to reconsider the...
June 22, 2005
The Evolving Role Of Chief Compliance OfficersPosition created by Sarbanes-Oxley raises a number of questionsWashingtonIn the post-Sarbanes-Oxley world, an increased focus on transparency and responsibility should guide the actions of ...