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 makes call on FINRA arbitration cases
By staff WriterThe Securities and Exchange Commission has approved a new rule that will limit motions to dismiss arbitration before investors present their case. This makes it all the more important to avoid consumer disputes in the first place. The new rule
March 30, 2009
FINRA sees flurry of arbitration, seeks REIT-related info.Things are getting hectic at FINRA. The regulator's statistics show arbitration claims jumped 90 percent through February versus the same month in 2008. According to...
March 27, 2009
Exclusive Interview and Testimony, Schapiro Speaks on Investor ProtectionExclusive Wealth Manager interview with SEC Chairman Mary Schapiro.
March 26, 2009
Schapiro unveils oversight agendaSecurities and Exchange Commission Chairman Mary Schapiro announced Thursday she is drafting plans to toughen oversight of investment advisors who have custody of client assets. In...
March 26, 2009
Schapiro Asks Congress for Greater Oversight PowersSEC chair wants to harmonize B/D and RIA regs and require hedge funds to register
March 25, 2009
IRS Seeks Consumer RepsThe Internal Revenue Service needs to fill openings on the IRS Taxpayer Advocacy Panel.
March 24, 2009
Ketchum: Investors need regulatory consistencyWhat we learned from Madoff is that it makes no sense for two independent regulatory bodies to oversee investment advisors and broker/dealers, Richard G Ketchum,...
March 20, 2009
Changing Life Settlement Roles Can Lead To Overlooked RegulationsThe life settlements industry is not new but it is still young and evolving. As such, its regulation is not uniform from state to state.