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.
FINRA sees flurry of arbitration, seeks REIT-related info.
By Staff WriterThings 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 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.
March 19, 2009
SEC - what wasn't working and whySo...what happened? In testimony submitted to the Subcommittee on Securities, Insurance and Investment Committee on Banking, Housing and Urban Affairs, Erik Sirri, the SEC's director...
March 19, 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.
March 18, 2009
AIG Hearing Sparks OFC DebateWitnesses and lawmakers today used a hearing on American International Group Inc. as a chance to debate the merits of federal regulation of insurance.