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.
FINRA Warning on BDCs Doesn’t Stop Market Vectors’ ETF Debut
By Joyce HansonDespite FINRA's January warnings on high-risk business development companies, Market Vectors has launched the first-ever ETF to offer pure-play BDC exposure.
February 07, 2013
TD’s Schweiss Keeps Tabs on Hot-Button Regulatory IssuesFar from dying on the vine, the SEC fiduciary issue will remain in play, TD's Skip Schweiss says.
February 07, 2013
FINRA quietly shifts SRO efforts to SenateFINRA has set its sights on the Senate to push a bill that would give it the authority to become the SRO for advisors.
February 07, 2013
FINRA Shifts SRO Fight to Senate, as House Effort FaltersWith the House unlikely to pursue an SRO bill this year, FINRA has set its sights on the Senate to push a bill that would give FINRA the authority to become the SRO for advisors.
February 06, 2013
S&P Lawsuit Raises Questions About Feds’ MotivationsQuestions are being raised as to why only S&P is targeted in the suit, since it could be said that Fitch and Moodys assigned inflated ratings as well.
February 05, 2013
FINRA Seeks Second Round of Comments on Markups, Commissions PlanAfter being deluged with comments against its plan to end a 5% threshold on commissions and markups, FINRA is giving broker-dealers yet another chance to weigh in.
February 04, 2013
Many Businesses Can Start Filing Income Tax Returns Feb. 4Opening covers non-1040-series business returns for 2012; delays remain on other business form filing dates.
February 04, 2013
DOL Slams ING Life and Annuity With $5.2M FineThe company was fined over its failure to disclose investment gains achieved when it failed to process requested transactions in a timely manner.