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.
DOL, SEC Fiduciary Rules May Clash, Senators Tell OMB
By Melanie WaddellTen Democratic senators urged the OMB to carefully review DOLs fiduciary reproposal to ensure that it doesnt directly conflict with the SECs fiduciary rule.
August 06, 2013
Tourre ruling should guide SEC in fiduciary rulemaking, expert saysFraud charges against former Goldman Sachs trader seen as critical victory for SEC.
August 06, 2013
Tourre ruling should guide SEC in fiduciary rulemaking, expert saysFraud charges against former Goldman Sachs trader seen as critical victory for SEC.
August 05, 2013
Tourre Ruling Should Guide SEC in Fiduciary Rulemaking, Expert SaysThe failure of a trader/broker to disclose a material conflict of interest to an institutional investor should be revisited as the SEC considers guidance for brokers advising retail clients.
August 02, 2013
House votes to curb IRS PPACA authoritySome Republicans have questioned whether federal exchange users can get the new tax credits.
August 02, 2013
Senate Confirms Stein, Piwowar as SEC CommissionersThe new SEC commissioners replace Elisse Walter and Troy Paredes.
August 01, 2013
Janet Tavakoli: SEC Needs to Wake Up, Make Bad Money Managers Pay UpWall Street scourge Janet Tavakoli usually reserves her fire for big cheating firms, but she turned her ire on the SEC regarding its criminal indictment of SAC Capital on insider trading charges.
August 01, 2013
SEC’s Deputy Director of Economic and Risk Analysis to DepartKathleen Weiss Hanley, who helped incorporate rigorous economic modeling into agency activities, to join University of Marylands Robert H. Smith School of Business.