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.
Financial Regulatory Bills In Pipeline
By Arthur D. PostalLegislation proposing an overhaul of the federal financial regulatory system is about to surface in both the House and the Senate.But participants in an Insurance ...
March 01, 2006
More Money for the CopsUnder President Bush's 2007 fiscal budget, the SEC's enforcement division as well as the inspections and examinations division would both get more cash. The administration...
February 26, 2006
Misrecollected (sic)"If it turned out that what he said was wrong, that doesn't mean he is a liar. It means he may have misrecollected what happened."These ...
February 21, 2006
Hedge Fund Managers Ignore Registration DeadlineAs many as several thousand U.S.-based hedge fund managers have not registered with the Securities and Exchange Commission.
February 19, 2006
Talk Of 'Accountability' Is Cheap For ChoicePointUnless you're considerably past your wonder years or are a devotee of 1970s news milestones, you probably don't remember the name Spiro T. Agnew. Yet, ...
February 17, 2006
FASB Complains About Hunger For Safe HarborsMembers of the Financial Accounting Standards Board say they wish accountants had the confidence to use sound professional judgment when creating corporate financial reports.FASB members ...
February 17, 2006
FASB Complains About Hunger For Safe HarborsMembers of the Financial Accounting Standards Board say they wish accountants had the confidence to use sound professional judgment when creating corporate financial reports.FASB members ...