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 Would Use Obama Budget Boost for Advisor Exams
By Melanie WaddellThe agency would use the extra funds to hire 325 examiners250 of whom would be devoted solely to advisor exams.
April 10, 2013
White Sworn In as SEC Chief; Walter, Paredes Likely Leaving SEC SoonInterim Chairwoman Elisse Walter will remain at the agency as a commissioner, but it doesn't look like she'll be there for long, David Tittsworth of IAA said.
April 09, 2013
FINRA’s Ketchum: Complex Products Still Need ‘Heightened Supervision’During the SEC's National Compliance Outreach Program for Broker-Dealers, Ketchum pointed to three areas that FINRA was focusing on.
April 08, 2013
Mary Jo White confirmed by Senate as SEC chairwomanThe former prosecutor was confirmed as SEC chief via unanimous consent.
April 08, 2013
Mary Jo White Confirmed by Senate as SEC ChairwomanThe former prosecutor was confirmed as SEC chief via unanimous consent.
April 05, 2013
IRS drafts health insurer exec comp regsIs that high earner a natural person or a single-member personal service corporation?
April 05, 2013
Compliance Officers Behaving BadlyThe law firm Sutherland found a bevy of violations during its annual look at SEC and FINRA disciplinary actions on chief compliance officers and in-house counsel for BDs and advisory firms.
April 04, 2013
A checklist of 401(k) fiduciary responsibilitiesThe DOL doesnt want it to be a secret, so it spells out exactly what it expects from the 401(k) plan sponsor and any other fiduciary.