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.
September 01, 2009
Broker/Dealer NewsThe Securities and Exchange Commission announced a settlement August 3 against Bank of America for misleading investors about billions of dollars in bonuses that were...
September 01, 2009
SEC Bulks Up EnforcementThe Securities and Exchange Commission (SEC) is moving at a rapid pace to repair its sullied reputation after being lambasted by Congress for failing to...
September 01, 2009
Fiduciary Committee Huddles with SECThe Committee for the Fiduciary Standard, which includes WealthManagerWeb.com Editor in Chief Kate McBride, held face-to-face-meetings with two SEC Commissioners, Congressional staffers, and a Treasury...
September 01, 2009
Expert's Corner: It Beats Getting SuedIn connection with the recent economic and market meltdown, we have seen a significant increase in arbitration claims filed against fee-based investment advisors. So, what...
August 31, 2009
Back to the drawing board?A U.S. Court of Appeals decision calling for a substantial rewrite, plus continued lobbying and counter-regulations, have put 151A back in the spotlight--but the story is far from over.
August 26, 2009
Insurer To Add 403(b) DocsAXA Equitable Life Insurance Company has announced plans to join the new Internal Revenue Service 403(b) prototype plan program.
August 26, 2009
Obama Nominates BernankePresident Obama nominated Fed Chairman Ben Bernanke for another four-year term ...Judge Jed Rakoff wants answers about Bank of America-Merrill bonuses...the Lewis Liman defense.