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.
The Silver Lining Behind Increased Regulation
By Roger A. SeimA new wave of regulations has hit the financial services industry. Here's why that might be a good thing.
July 12, 2012
Royce Demands FIO Probe of NAICA senior member of the House Financial Services Committee this week asked the Federal Insurance Office to conduct a comprehensive review of the operations and structure of the National Association of Insurance Commissioners.
July 12, 2012
FINRA’s 6 Critical Tips Before Buying ETNsFINRA wants to make sure that investors are aware of the differences between ETNs and other, perhaps more traditional, investmentslest investors be taken unaware and get in over their heads.
July 11, 2012
SEC Approves National Market System to Better Track TradesIf it were not for the Dodd-Frank rulemaking frenzy that has dominated the SECs agenda for the last two years, a commissioner said, it would be abundantly clear that this rulemaking is a game changer.
July 11, 2012
Is Lying and Cheating Key to Success? Many Financial Professionals Say YesThe law firm Labaton Sucharow releases the troubling results of a survey of 500 American and British financial services professionals on corporate ethics.
July 11, 2012
MetLife manager fined and suspended in FINRA life settlement case (Forbes)Without admitting or denying the findings, William F. Weiss submitted a Letter of Acceptance, Waiver and Consent, which FINRA accepted.
July 11, 2012
MetLife manager fined and suspended in FINRA life settlement case (Forbes)Without admitting or denying the findings, William F. Weiss submitted a Letter of Acceptance, Waiver and Consent, which FINRA accepted.
July 10, 2012
FSI Fires Back on DOL's 'Disappointment' with Industry Data CollectionThe FSI's letter is a direct response to the June 20 letter from Phyllis Borzi to Congressmen, Education and Workforce Committee Chair John Kline, R-Minn., and Ranking Member George Miller, D-Calif.