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.
Lawmakers Challenge Hedge Fund Ad Rules
By Melanie WaddellTwo representatives warn the SEC that the rule, requiring funds to file "wildly expanded" paperwork 15 days before advertising starts, runs afoul of the JOBS Act's intent and would "delay free speech."
July 23, 2013
Disclosure of CEO-to-worker pay may be soonThe rule would require reporting CEO compensation as a multiple of median-worker pay.
July 23, 2013
SEC fiduciary rule unlikely in Dodd-Frank’s third yearThis year might not see a uniform fiduciary rule, but it could see the first SIFI designation of an asset management firm.
July 22, 2013
SEC Fiduciary Rule Unlikely in Dodd-Frank’s Third Year of LifeAdvisors, including Harold Evensky, and industry officials are increasingly pessimistic that the year will bring a uniform fiduciary rule. However, the first designation of an asset management firm as systemically important could be coming soon.
July 22, 2013
FINRA Beefs Up MBS TransparencyFINRA announced Monday that its Trade Reporting and Compliance Engine will now provide increased transparency in mortgage-backed securities issued by Fannie Mae, Freddie Mac, Ginnie Mae and in securities backed by SBA-guaranteed loans.
July 22, 2013
SEC Charges SAC Capital’s CohenThe SEC on Friday charged hedge fund advisor Steven Cohen, founder of SAC Capital Advisors, with failing to prevent two portfolio managers from insider trading.
July 19, 2013
Dodd-Frank regulations would fill 28 copies of ‘War and Peace’Would Tolstoy even read it?
July 19, 2013
Dodd-Frank regulations would fill 28 copies of ‘War and Peace’Would Tolstoy even read it?