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.
Lawsky: Regulation focused more on punishing past than protecting future
By Phil GusmanThe insurance industry can be used as a catalyst for positive change in society, New Yorks top regulator says.
November 18, 2013
As NASAA’s New President, I’m Starting a Campaign for ‘Smarter Regulation’The trick is to balance the legitimate interests of investors with the legitimate goals of entrepreneurs and to adopt policies that are fair to both.
November 15, 2013
Brush Up on Expiring Tax Provisions, Experts WarnThe on-again, off-again nature of expiring provisions creates a lot of uncertainty, the AICPA chairman says.
November 15, 2013
Yellen: One-size-fits-all not a model for regulationThe Fed board recognizes critical differences between banks and insurance companies, Janet Yellen said at her confirmation hearing.
November 14, 2013
SEC, FINRA Enforcement: Firm Slapped for Ignoring Red FlagsIn other enforcement news, four accountants were booted for faulty audits, and three brokers were found guilty of churning.
November 14, 2013
SEC: Don’t Use ‘Protected’ or ‘Guaranteed’ in Fund NamesThe regulatory body is heightening its scrutiny of funds that include the terms.
November 14, 2013
Boston Fed gearing up for top tier regulation of PruAnd abroad, the Fed will tread lightly among its older international insurance oversight brethren at IAIS for now, according to sources.
November 14, 2013
Boston Fed gearing up for top tier regulation of PruAnd abroad, the Fed will tread lightly among its older international insurance oversight brethren at IAIS for now, according to sources.