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.

Federal Regulation

Maine Senator Comes Out Against OFC Concept

By Mark E. Ruquet
Seminars and credentials go under the microscope

April 01, 2008

Seminars and credentials go under the microscope
Cost Segregation Audit Techniques Guide

April 01, 2008

Cost Segregation Audit Techniques Guide
Industry Groups Support SEC Summary Proposal

April 01, 2008

Industry Groups Support SEC Summary Proposal
It's About Time

April 01, 2008

It's About Time
SEC: "We hear you"

April 01, 2008

SEC: "We hear you"
Plain English, Please

April 01, 2008

Plain English, Please
FINRA and SEC Look to Build Bridges

April 01, 2008

FINRA and SEC Look to Build Bridges