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.
Obama Names Mary Jo White New SEC Chief
By Melanie WaddellPresident Obama on Thursday named Mary Jo White as the new chairwoman of the SEC, taking over from Elisse Walter.
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.
January 18, 2013
SEC Mulls Rule Proposal on Corporate Political SpendingThe date, however, when such a proposal would be released remains unclear.
January 18, 2013
FINRA Issues Top 10 Watch List for 2013ETFs and variable annuities are among the 10 products and regulatory areas in the regulators sights.
January 17, 2013
FINRA Enforcement Roundup: Morgan Keegan Censured, Fined Over Nontraditional ETFsAmong recent FINRA enforcement actions were the censure, fine and order to pay restitution of a firm that charged its customers bogus markups.