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.
Fed Governor Stein Resigns to Return to Teaching at Harvard
By Jeff Kearns, Bloomberg, Craig Torres, BloombergJeremy Stein is a known as a thought leader on the linkage between monetary policy and financial stability.
April 02, 2014
3 Tests for Whether an Advisor Compliance Issue Is Hot, or NotYou want to be compliant, but which SEC programs should you pay attention to? Heres some help in sorting out the regulatory noise.
April 02, 2014
FBI enlisting help from high-frequency tradersThe FBI joins a roster of authorities, including the SEC, examining high-frequency trading.
April 02, 2014
FBI enlisting help from high-frequency tradersThe FBI joins a roster of authorities, including the SEC, examining high-frequency trading.
April 01, 2014
DOL cracks down on employer 401(k) issuesMost fiduciaries and employers want to do the right thing but, as the DOL notes, inadvertent mistakes can create "significant problems."
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.