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.
An Education Summit
By James J. GreenThis year, the annual meeting of the Certified Financial Planner Board of Standards was not only a multiday affair in the first week of August...
August 07, 2006
CalPERS Adds Former SEC Chair's Hedge FundRichard Breeden's activist hedge fund firm has been allocated $400 million as part of the California Public Employees' Retirement System's corporate governance portfolio.
August 07, 2006
Hedge Fund Adviser Registration Tops 2,000 Post-GoldsteinThe registry rolls are swelling at the U.S. Securities and Exchange Commission.
August 06, 2006
Wishing For Spitzer?What if those who are crying out for federal oversight of insurance get their wish, but a Democrat is elected president of the United States--perhaps ...
August 03, 2006
The Lightning RoundThe SEC is moving forward at lightning speed, from a July Request for Information (RFI), to a Request for Proposals (RFP) due August 24th for the first leg of a major SEC study of how the different regulatory rules and entities for brokers and investment advisors affect ordinary investors.
August 02, 2006
SEC To Examine Gap Between IA And B-D RulesThe U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.The SEC ...
August 02, 2006
SEC To Examine Gap Between IA And B-D RulesThe U.S. Securities and Exchange Commission will be hiring researchers to study how the different regulatory structures for investment advisors and broker-dealers affect investors.The SEC ...