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.
FINRA Fines On Track to Fall 41% This Year
By Melanie WaddellThe total dollar amount is projected to hit a three-year low, according to the law firm Sutherland Asbill and Brennan.
September 04, 2013
Starr, Greenberg: Bernanke must respond to questionsLawyers for Greenberg argue that they be allowed to question Bernanke about his role in the government's takeover of AIG.
September 04, 2013
September Surprise: Fiduciary Supporters Lobby the SECWith new leadership at the SEC, many questions remain unanswered about the Commissions fiduciary rulemaking. Maybe we'll get some answers during Fiduciary September.
September 04, 2013
House to examine SEC’s money-market fund planCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.
September 04, 2013
House to examine SEC’s money-market fund planCapital Markets Subcommittee sets Sept. 18 meeting on controversial two-pronged plan.
September 03, 2013
How tax dodgers can survive the Swiss bank bustLocating tax dodgers will be like shooting fish in a barrel says an IRS official.
September 03, 2013
House to Examine SEC’s Money-Market Fund PlanThe Financial Services Committees Capital Market Subcommittee plans to hold a hearing Sept. 18 on the SEC's proposed rules.
September 03, 2013
Rostad Kicks Off Fiduciary SeptemberKnut Rostad, Vanguard founder John Bogle and other fiduciary advocates lead a month of lobbying and awareness raising.