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.
FDA panel urges looser restrictions on diabetes drug Avandia
By Staff WriterThe FDA commissioner will now have to decide.
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?
June 04, 2013
Net Capital Gains Plunged 90% During Financial Crisis: IRSCapital gains fell while losses more than doubled from 2007 to 2009, according to the IRS' latest Statistics of Income Bulletin.
June 04, 2013
Bullard’s Blistering Critique of House Fiduciary Plan Offers Way ForwardA congressional hearing in late May showcased the latest arguments against SEC fiduciary rulemaking.
June 04, 2013
FINRA’s New Public Arbitrator Rules Make Little Sense: Compliance ProsCompliance professionals are questioning the merits of new FINRA rules that prevent people associated with mutual funds and hedge funds from serving as public arbitrators.