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.
Boston Man's Alleged Trail of Deception May Reach an End
By Staff WriterBOSTON (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
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 ...
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 ...
November 10, 2004
Pros and Cons To Unifying Financial Regulation: GAOPros And Cons To UnifyingFinancial Regulation: GAOByCongress should consider creating an entity that would oversee "complex, internationally active" financial services companies but leave most of ...
November 10, 2004
GAO: Unifying Financial Regulation Might Be HardCongress should consider creating an entity that would oversee "complex, internationally active" financial services companies but leave most of the current regulatory system in ...
November 08, 2004
PBGC Survey To Study Zombie PlansThe Pension Benefit Guaranty Corp. wants to know more about defined benefit retirement plans that hover between life and death.[@@]The federal pension insurance agency ...
November 04, 2004
Uncle Sam Reviews Benefit Plan Tax FormThe federal government is asking members of the public for comments on ways to improve the employee benefit plan tax form.[@@]The U.S. Department of ...
November 03, 2004
Bankers Say Insurance Regulation Needs Major OverhaulBankers Say Insurance Regulation Needs Major OverhaulWashingtonBankers believe major changes are needed in insurance regulation in order to make the industry more efficient and that ...