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.
Rep. Waters Reintroduces SEC User Fees Bill
By Melanie WaddellRep. Maxine Waters, D-Calif., on Friday made another go at allowing the SEC to collect user fees to fund advisor exams.
April 18, 2013
Congress must fix advisor exams now: SEC’s WalterSwitching advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, Walter said.
April 18, 2013
Congress must fix advisor exams now: SEC’s WalterSwitching advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, Walter said.
April 17, 2013
Congress Must Fix Advisor Exams Now: SEC’s WalterThe switching of advisors from SEC to state oversight under the Dodd-Frank Act is not the final answer to ensuring advisors are adequately examined, SEC Commissioner Elisse Walter told state securities regulators.
April 17, 2013
SEC’s Aguilar: Predispute Mandatory Arbitration Denies Investors’ RightsA clients right to go to court to recover monetary damages is an important right that should be preserved and kept in the clients toolkit, SEC Commissioner Luis Aguilar told state securities regulators Tuesday.
April 16, 2013
First Investor Protection Test for SEC’s White: FINO Over Fiduciary?The Institute for the Fiduciary Standard argues that SEC assumptions would usher in the era of the FINOfiduciary in name only.
April 15, 2013
FINRA Charges John Thomas Financial, CEO in Penny Stock ScamCEO Anastasios "Tommy" Belesis appeared in the film Wall Street 2: Money Never Sleeps.
April 15, 2013
SEC, DOL must collaborate on ‘overlapping’ IRA fiduciary standards: attorney MasonThe two agencies are "constrained by and must follow very different statutory mandates," says Tittsworth of IAA.