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.
SEC Warned to Halt Money Market Fund Rule Release
By Melanie WaddellFinancial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
July 21, 2014
SEC Names Flannery Chief EconomistThe SEC said Monday that Mark Flannery will become the agencys new chief economist and director of its Division of Economic and Risk Analysis.
July 21, 2014
Barney Frank to Testify on Dodd-Frank’s Impact 4 Years OnFormer Rep. Barney Frank will testify Wednesday before the House Financial Services Committee on his namesake Dodd-Frank Acts impact.
July 18, 2014
SEC: House Insider Probe Involves Dozens of Funds, FirmsThe SEC investigation of the House Ways and Means Committee involves some of the biggest advisors and hedge fund firms in the U.S.
July 18, 2014
SEC Enforcement: Golf Buddies Charged in Insider Trading RingIn other actions, a former New Mexico governor was charged in a microcap scheme.
July 17, 2014
Can EU Anti-Allergy Regulations Sour Perfume’s Scents?Should investors worry that new rules on perfume ingredients will taint the sweet smell of profits? It depends.
July 17, 2014
FINRA Appoints Arbitration Task ForceFINRA appointed a 13-member arbitration task force Thursday to consider possible enhancements to its arbitration forum.
July 16, 2014
SEC on a Dodd-Frank ‘Death March’: GallagherThe SEC has been on a death march to finish Dodd-Frank rulemakings unrelated to its core mission, SEC Commissioner Gallagher said Wednesday.