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.
Tom Giachetti’s 10 Blunt Compliance Warnings
By James J. GreenThe federal compliance picture: What SEC examiners want. The local compliance picture: State examiners "are not your friends."
November 28, 2012
Sen. Collins says Dodd-Frank amendment should lighten up on insurersCollins chimes in, as lobbyists had hoped, a day before a hearing on Basel III capital standards implementation.
November 28, 2012
Evans: Fed should keep rates low until unemployment hits 6.5 percentCiting a need for even more economic stimulus, the president of the Chicago Federal Reserve makes the case for continued near-zero interest rates.
November 26, 2012
Obama Names SEC’s Walter as Schapiro’s ReplacementWhile Elisse Walter, an SEC commissioner, was selected by President Obama to succeed Schapiro, industry officials speculated that Walter will serve as an acting chairman until the president selects a permanent chairman at a later date.
November 26, 2012
Court keeps PPACA challenge aliveLiberty University is challenging the constitutionality of coverage mandate provisions.
November 26, 2012
Elisse Walter chosen to lead SECPresident Barack Obama has chosen Elisse Walter, one of five members of the Securities and Exchange Commission, to lead the agency after Chairman Mary Schapiro leaves next month.
November 26, 2012
SEC's Schapiro to step down in DecemberAfter months of speculation that she would depart, Schapiro made it official Monday morning.
November 26, 2012
SEC's Schapiro to step down in DecemberAfter months of speculation that she would depart, Schapiro made it official Monday morning.