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’s White Sets Sept. 12 Meeting With Exchanges on Nasdaq Glitch
By Melanie WaddellThe meeting will address the price processing system that failed, along with other critical market systems.
August 26, 2013
DOL Pressing Forward on FiduciaryAccording to the Semiannual Regulatory Agenda for the Department of Labors Employee Benefits Security Administration, a reproposal to amend the definition of fiduciary under the Employee Retirement Income Security Act (ERISA) will come in October.
August 26, 2013
Making Sense of Form 13FThe form is already too often misunderstood and now, a new format!
August 23, 2013
SEC’s White Vows New Trading Rules After Nasdaq GlitchSEC Chairwoman Mary Jo White said Thursday that while the technical glitch that paralyzed trading was resolved quickly, the incident was serious.
August 22, 2013
Would better regulations have prevented the London whale trades?Dodd-Frank turns 3 years old. How better off are we?
August 22, 2013
FINRA Fines Morgan Stanley Over Bond InfractionsFirms must ensure that customers who buy and sell securities ... receive execution prices that are consistent with prices available in the marketplace," FINRA says.
August 21, 2013
We know what is good for youPerhaps the First Lady should choose her battles more carefully.
August 20, 2013
Nonprofits Blast Church Group’s Call to Loosen Political Speech RulesThis actually contaminates our advocacy work, the head of Independent Sector said of the church commission's report calling for the change...