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.
How regulation really does change eating behavior
By Staff WriterAre the days of carefree junk-food eating behind us?
August 31, 2012
Paving the WayA brave new era of insurance regulation will likely be launched sometime this month, when the governments share of American International Group (AIG) is expected to fall below 50 percent and the Federal Reserve Board uses that opportunity to launch fresh oversight of the AIG holding company.
August 31, 2012
SEC Issues Risk Alert on Pay-to-Play PracticesJust in time for election season, the SEC issued Friday an alert to strengthen compliance with an MSRB rule that limits political contributions by municipal securities professionals to campaigns of public officials.
August 30, 2012
Investors Lack Basic Financial Literacy Skills: SEC StudyRetail investorsparticularly minorities and the elderlyfail to understand concepts such as compound interest, inflation or the differences between stocks and bonds, according to a just-released study by the SEC and the Library of Congress.
August 30, 2012
SEC, FINRA, DOL Enforcement Roundup: 8 Charged for Insider Trading on Pharma DealAmong the recent actions taken by the regulators were a settlement of $1.27 million to be paid by an advisory firm to 13 pension plans and charges in an insider trading ring.
August 29, 2012
IRS Withdrawal Calculation Offers Alternative to Standard 4%Heres a news flash; the IRS offers a calculation that actually helps consumers. Who knew?
August 29, 2012
‘Antichrist’ at SEC, Dimon, Bush Among Villains of Financial Crisis: TavakoliTo Wall Street scourge Janet Tavakoli, the list of financial-crisis villains still evading responsibility is not short and includes, to name a few, Jamie Dimon, Jon Corzine, Tim Geithner, Mary Schapiro, George W. Bush, President Obama and the financial media.
August 29, 2012
SEC’s GOP Commissioners Offer ‘Way Forward’ on Money-Market ReformThe SEC's two Republican commissioners voiced their dismay on Tuesday with the statement issued last week by Chairwoman Mary Schapiro ending her money-market fund reform push.