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.
FBI enlisting help from high-frequency traders
By Keri Geiger and Patricia HurtadoThe FBI joins a roster of authorities, including the SEC, examining high-frequency trading.
April 01, 2014
NAIC makes model corporate governance regulation applicable to fraternalsIt's in the best interests of fraternal life insurers to embrace best practices for corporate governance.
April 01, 2014
NAIC makes model corporate governance regulation applicable to fraternalsIt's in the best interests of fraternal life insurers to embrace best practices for corporate governance.
April 01, 2014
Ryan Budget Seeks to ‘Tighten’ SEC’s BeltBut SEC Chairwoman Mary Jo White told lawmakers the same day that there was "an immediate and pressing need" for more funding for advisor exams.
March 31, 2014
SEC Focused on ‘Preserving’ Money Market Funds; Resources for Advisor Exams a ‘Crying Need’The Securities and Exchange Commission is very sensitive to preserving money market funds as it proceeds to the adopting phase of a rulemaking.
March 31, 2014
White, Borzi and Legislators Focus on FiduciaryLess than a month apart, the women behind the crafting of fiduciary rulemakings at the Department of Labor and the Securities and Exchange Commission made some definitive comments about their respective proposals.
March 31, 2014
Fi360 Urges SEC to Consider Third-Party Advisor ExamsThe Securities and Exchange Commission should revisit the idea of using third-party audits to boost the number of advisor exams in lieu of assessing user fees or appointing a self-regulatory organization to conduct such exams, says fi360.
March 31, 2014
SEC Ripped Over Analyses of Rules by Mercatus StudyBefore retooling its analyses in 2012, the SEC often ignored important alternatives that should be obvious to an expert agency, says a Mercatus Center paper.