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 Seeks to Require Members to Link to BrokerCheck
By Melanie WaddellFINRA is asking the SEC to approve amendments to BrokerCheck, including requiring firms to include a reference and a link to BrokerCheck on their websites.
September 19, 2012
Agency eyes LTC advice service adsThe Federal Trade Commission tells two companies to describe what they do more precisely.
September 18, 2012
Business making an anti-regulation pitch to votersThe National Association of Manufacturers, U.S. Chamber of Commerce and National Federation of Independent Business are working to make the anti-regulatory fervor their members share an issue in the last weeks of the campaign.
September 18, 2012
Dallas Fed’s Fisher Backs Bernanke in Blame Game"The government has the ability to incent the private sector through tax and spending programs," Fed president Richard Fisher said. "Get on with it."
September 18, 2012
Sen. Corker: SEC Nearing a Money-Market Fund SolutionThe senator urged the SEC in a letter to move ahead with further reform, saying a run on money-market funds is still a real risk.
September 17, 2012
Obama vs. Romney: 6 key differences on taxes, regulationWhich way will the candidates take the country?
September 17, 2012
Obama vs. Romney: 6 key differences on taxes, regulationWhich way will the candidates take the country?
September 14, 2012
Merrill to Pay Brazilian Heiress $3.6MThe case involves losses tied to unauthorized trading by a member of the Nasser family, a prominent banking family in Brazil.