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.
Managing compliance responsibilities
By Staff WriterRegulatory compliance is a crucial part of doing business. Here are some suggestions for efficiently managing compliance responsibilities: Devote resources up-front to compliance efforts. Be...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 22, 2008
FINRA Issues Ghostwriting GuidanceThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 21, 2008
High-Level Roundtable Discusses Likelihood Of Federal RegulationA high level, Washington roundtable attended by the majority whip of the Senate, the chair of the House Financial Services Committee, a Congressman, 28 state ...
May 21, 2008
High-Level Roundtable Discusses Likelihood Of Federal RegulationA high level, Washington roundtable attended by the majority whip of the Senate, the chair of the House Financial Services Committee, a Congressman, 28 state ...
May 21, 2008
FINRA Issues Communications NoticeThe Financial Industry Regulatory Authority says sales representatives for member firms should take care when using ghostwritten books and articles to market their services.A rule ...
May 20, 2008
Expect More Fed Pressure If Dems Control Washington, Says PCI HeadThe chief executive of the Property Casualty Insurers Association of America, Des Plaines, Ill., said he believes if the Democratic party expands its majorities in ...
May 20, 2008
Expect More Fed Pressure If Dems Control Washington, Says PCI HeadThe chief executive of the Property Casualty Insurers Association of America, Des Plaines, Ill., said he believes if the Democratic party expands its majorities in ...