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.
Supreme Court defines time limits for the SEC to pursue civil cases
By Staff WriterInfractions committed at the start of the financial crisis are approaching the time limit to which the SEC can pursue civil penalties.
February 27, 2013
SEC Budget Faces $108M Cut Under Sequester; House GOP Blasts SEC’s ‘Misplaced Priorities’Republicans on the House Financial Services Committee criticized the agency Tuesday for repeatedly failing to fulfill any part of its mission.
February 26, 2013
As Fiduciary Debate Returns, Advisors Share Attitudes and PracticesAs the SEC and DOL work to finalize their fiduciary standards, AdvisorOne and fi360 field their third annual advisor fiduciary survey to determine real-world advisor opinions and actions.
February 26, 2013
Mary Jo White confirmation appears set for mid-MarchThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.
February 26, 2013
Mary Jo White confirmation appears set for mid-MarchThe Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White.
February 26, 2013
In budget fight, sky is falling againOr maybe not. The impact of the sequester could be softer than hyped.
February 26, 2013
Mary Jo White Confirmation Hearing in Senate Appears Set for Week of March 11The Senate Banking Committee is tentatively looking at the week of March 11 for a confirmation hearing of Mary Jo White, a Senate aide told AdvisorOne Monday night.
February 25, 2013
Ketchum’s Big SRO OmissionRichard Ketchum, CEO of FINRA, omitted a crucial detail in a recent interview he gave.