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: 6 Factors to Consider Before Investing in Alternative Funds
By Melanie WaddellFINRA is warning investors about the risks of treating alternative mutual funds like traditional mutual funds, citing their more nontraditional investment holdings and more complex trading strategies.
June 07, 2013
FDA panel urges looser restrictions on diabetes drug AvandiaThe FDA commissioner will now have to decide.
June 06, 2013
States’ hospital data for sale puts privacy in jeopardyThank the advent of state exemptions from federal regulations regarding discharge data.
June 06, 2013
SEC Enforcement: Broker Busted for Lying to InvestigatorsAmong recent enforcement actions by the SEC were charges against a Florida-based stock promoter for lying to SEC investigators and suspension of trade of 61 shell companies to preclude fraud.
June 06, 2013
Historic Moment as Planner Groups Voice Clear Support for Fiduciary StandardIn a letter to the SEC, the FInancial Planning Coalition and consumer groups make a cogent argument for why the SEC should impose the same standard for all advice givers.
June 05, 2013
SEC Floats Two-Pronged Money Fund Reform PlanSEC Chairwoman Mary Jo White said Wednesday that the two reforms could be adopted separately or combined into a single reform package.
June 04, 2013
DOL’s Borzi: Fiduciary Redraft Out a Couple of Months After JulyThe DOL's reproposed fiduciary rule will likely be released a "couple" of months after July, Phyllis Borzi, assistant secretary for EBSA, said during a Tuesday afternoon meeting with the ERISA Advisory Council.
June 04, 2013
Obama prods Republicans with picks for appeals panelIs there anything the president does that doesnt turn into a partisan dysfunction?