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 Chairman Speaking the Fiduciary Language
By Knut A. RostadSEC Chairman Mary L. Schapiro's September 24th speech, before the Financial Services Roundtable, included her most recent public remarks on the fiduciary standard. The Chairman's remarks are important.
September 22, 2009
FINRA Seeks CommentsThe Financial Industry Regulatory Authority is continuing to overhaul the rules that govern members' communications with the public.
September 22, 2009
SEC Votes to Crack Down on Credit Ratings AgenciesGreater oversight to foster greater disclosure
September 22, 2009
Are you Ready?Financial reform is around the corner. How will it affect you and your clients? The Capital is abuzz with discussions regarding re-regulation of financial services, something that the Administration wants to see passed by year-end.
September 22, 2009
What Advisors Can Teach the SECInstead of lashing out at broker-dealers, the SEC should begin to examine how the brokerage industry has moved ahead of the curve to re-shape recruitment packages and to tie performance and asset retention to bonuses.
September 22, 2009
Asking The WolvesI have to admit I don’t know any sheep farmers, but even I know that it’s not customary for these folks to ask the wolf ...
September 22, 2009
Asking The WolvesI have to admit I dont know any sheep farmers, but even I know that its not customary for these folks to ask the wolf ...
September 21, 2009
IRS Posts Roth Rollover AdviceThe Internal Revenue Service is weighing in on when employer-plan-to-Roth rollovers should or should not be included in a participant's taxable income.