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.
Panel Reviews SEC Budget
By Allison BellHouse members gave Mary Schapiro, the new U.S. Securities and Exchange Commission chairman, a warm welcome today at a hearing on the agency's budget.
March 10, 2009
SEC Verifying Client AssetsNew exam procedure a reaction to Madoff scheme; Commission also preparing self-custody rule
March 09, 2009
Scammers use IRS to target seniorsAs tax season approaches, scammers using the Internal Revenue Service as a guise are targeting seniors in phishing scams, according to an AARP Scam Alert. The first hint that an e-mail from the IRS is part of a scam is its appearance in an inbox
March 09, 2009
Scammers use IRS to target seniorsAs tax season approaches, scammers using the Internal Revenue Service as a guise are targeting seniors in phishing scams, according to an AARP Scam Alert. The first hint that an e-mail from the IRS is part of a scam is its appearance in an inbox
March 05, 2009
Frank Aide Warns Of Federal Insurance OversightA top House committee aide has advised state insurance legislators that he believes Congress will pass legislation this year to create a federal regulator for insurance.
March 05, 2009
Frank Aide Warns Of Federal Insurance OversightA top House committee aide has advised state insurance legislators that he believes Congress will pass legislation this year to create a federal regulator for insurance.
March 02, 2009
A Turnkey Solution for ComplianceTo meet the needs of that "increasingly stringent regulatory environment," InvestEdge (www.investedge.com) has updated its Compliance Solution application for banks and financial advisors and made...
March 02, 2009
Levitt and Donaldson Head Investor's Rights Task ForceA non-partisan task force composed of financial industry experts and co-chaired by two former SEC chairmen has been assembled to stress the "primacy of investor interest" in the expected regulatory reforms to the U.S. financial markets.