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.
SEC Proposed Hedge Fund Adviser Registration: The Industry Responds
By Staff WriterOn July 28, 2004, the Securities and Exchange Commission published for comment in Release No. IA-2266 rules to require hedge fund advisers to register with the SEC under the Investment Advisers Act of 1940. The release cited three general areas as the basis for the proposed rule: (1) the growth...
October 26, 2004
A Compliance Guide to the Investment Advisers Act of 1940Part III: The Registered Investment Adviser's Relationship with Its Clients This article is the third in a series I have designed to give guidance to managers of hedge funds for complying with regulations proposed by the Securities and Exchange Commission. If the proposed regulations are adopted, they will require the...
October 14, 2004
Generali Wins Dismissal Of Holocaust-Era Claim SuitsNU 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 13, 2004
IRS Hungry To Tax Demutualization PayoutsIRS Hungry To Tax Demutualization PayoutsWashingtonThe Internal Revenue Service is currently locked in a dispute with a Minnesota accountant who believes the IRS is wrong ...
October 11, 2004
D.C. To 401(k) Plans: Find Your Participants YourselfNU Online News Service, Oct. 11, 2004, 5:20 p.m. EDTThe U.S. Department of Labor is warning sponsors of terminating defined contribution plans against counting ...
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 ...