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.
Mary Jo White to be new SEC chair
By Liz FestaThe former New York prosecuter will oversee the SEC's plan to create a uniform fiduciary standard rule.
January 24, 2013
Obama Names Mary Jo White New SEC ChiefPresident Obama on Thursday named Mary Jo White as the new chairwoman of the SEC, taking over from Elisse Walter.
January 23, 2013
Was Madoff a Ponzi?Dec. 11, 2012 marked the four-year anniversary of when Bernard Madoffs multi-billion dollar heist was exposed.
January 22, 2013
SEC Names Martinez Chief of Market IntelligenceThe SEC announced Tuesday that Vincente L. Martinez has been named Chief of the Enforcement Divisions Office of Market Intelligence, which collects and evaluates the tips, complaints and referrals that come into the agency.
January 21, 2013
FINRA issues top 10 watch list for 2013ETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.
January 21, 2013
FINRA issues top 10 watch list for 2013ETFs and variable annuities are among the products in the regulators sights due to potential risks to investors.
January 21, 2013
SEC’s New Chief: Dodd-Frank, JOBS Act Top SEC’s Priority ListSEC Chairwoman Elisse Walter said Friday that despite the current 2-2 divide among the agencys commissioners, shes confident that they are eager to find common ground.
January 18, 2013
Dallas Fed’s Fisher: How to End Too-Big-to-Fail NowThe Dallas Feds Fisher denounced the injustice of having to choose between a bailout for the top 0.2% of banks or see the economy lose more than two years of economic output in a new crisis.