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.
Time to fill the void in regulation of structured settlement brokers
By Warren S. HerschExperts disagree as to whether states should impose requirements regarding disclosure of compensation and potential conflicts of interest.
November 05, 2012
Benefits Council Objects to New Pension Enforcement RuleThe American Benefits Council is taking issue with a new policy issued by the Pension Benefit Guaranty Corp. that it says challenges the health of the defined benefit system.
November 02, 2012
‘No timing’ on VA summary prospectus: SEC’s NashNash also said she couldnt predict where such a rule proposal falls among the SECs priorities.
November 01, 2012
Hurricane Sandy Spurs FINRA, SEC ActionsFINRA and the SEC have issued warnings and bulletins to help both advisors and the public better cope.
November 01, 2012
‘No Timing’ on VA Summary Prospectus: SEC’s NashNash also said she couldnt predict where such a rule proposal falls among the SECs priorities.
November 01, 2012
In Money Market Fund Reform, FSOC Must Act Carefully: DechertTreasury Secretary Geithner's proposal seeks to have the FSOC make recommendations for fund reform before it has established a fair process, Dechert says.
October 30, 2012
SEC's Gallagher: Fiduciary Rule Needs More Study; Failure to Supervise Should be FocusAs SEC Chairwoman Mary Schapiro was stating last week her belief that the agency could issue a proposed rule to put brokers under a fiduciary mandate next year, the newest SEC commissioner, Daniel Gallagher, declared that the SEC must first determine if such a rule is necessary, stating the agency...
October 29, 2012
SEC Brings More Insider Trading Actions in Galleon CaseThe SEC says that it has now charged 32 defendants in its Galleon-related enforcement actions.