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.
MSRB Floats Muni Advisor Rule
By Melanie WaddellThe proposed rule strikes an appropriate balance" and is "workable for municipal advisors of all sizes, says MSRB.
January 07, 2014
IRS trips up nonprofitsThe final rule applies to nonprofit plans and many of the Blues.
January 07, 2014
House Committee Promises ‘Vigorous’ Oversight of Yellen’s FedThe House Financial Services Committee plans to hold a series of "aggressive" hearings this year on how to reform the central bank.
January 06, 2014
Yellen confirmed by U.S. Senate to become 15th Fed chairmanJanet Yellen won U.S. Senate confirmation to become the 15th chairman of the Federal Reserve and the first woman to head the central bank in its 100-year history.
January 06, 2014
Yellen confirmed by U.S. Senate to become 15th Fed chairmanJanet Yellen won U.S. Senate confirmation to become the 15th chairman of the Federal Reserve and the first woman to head the central bank in its 100-year history.
January 06, 2014
SEC Names Osnato to Head Complex Products UnitThe unit, formerly known as the Structured and New Products Unit, was created along with four other specialized enforcement units in 2010.
January 06, 2014
SEC eyes deferred annuity ridersAlso coming under heightened scrutiny are funds and contract names that suggest safety or protection from loss.
January 06, 2014
SEC eyes deferred annuity ridersAlso coming under heightened scrutiny are funds and contract names that suggest safety or protection from loss.