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 Lifts Ban on Hedge Fund Advertising
By Melanie WaddellThe new rule, approved by a 4-1 vote, was required by the JOBS Act. NASAA and ICI voiced their disappointment in the rule's lack of investor protections.
July 10, 2013
The 'cost' of fiduciary: The wacky folks at NAIFA are at it againId like to give a special shout out to my main men at NAIFA for their ongoing efforts to keep me from getting bored.
July 10, 2013
The 'cost' of fiduciary: The wacky folks at NAIFA are at it againId like to give a special shout out to my main men at NAIFA for their ongoing efforts to keep me from getting bored.
July 10, 2013
SEC Full Funding Boost Request Goes BustThe SEC is set to get $303 million less than what it requested under the House Appropriations Committee fiscal year 2014 Financial Services and General Government Appropriations bill, released Tuesday.
July 10, 2013
The ‘Cost’ of Fiduciary: Those Wacky Folks at NAIFA Are at It AgainA standard that requires retail advisors to put their clients interests first is not about costs; its about protecting investors.
July 09, 2013
Senator Aims to Strip DOL’s IRA Fiduciary PowerIn yet another attempt by Congress to stymie the DOL's effort to release its fiduciary reproposal, Sen. Orrin Hatch, R-Utah, introduced legislation on Tuesday that would return oversight of IRAs to the Treasury Department.
July 09, 2013
More Regulation, More Problems for Global Corporate Finance LeadersIn a survey of corporate financial officers in seven countries, 80% were optimistic about their firm's growth, but 88% felt walloped by regulatory change.
July 08, 2013
Brokers willing to pay up for fiduciary standard: SIFMABroker-dealers with fiduciary accounts see stronger asset growth; Schwab says RIAs must beware of harmonization.