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.
SEC Issues Risk Alert on Pay-to-Play Practices
By Melanie WaddellJust 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 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.
August 29, 2012
SEC Proposes JOBS Act Rule Easing Private-Offering PromotionWith respect to Rule 506 offerings, the JOBS Act directs the commission to permit such general solicitation, provided that all purchasers of the securities are accredited investors," SEC Chairwoman Mary Schapiro said.
August 29, 2012
Tougher Rules No Obstacle to Swedish Bank Growth: RegulatorDespite substantially higher reserve requirements than those set by Basel III, Swedens banks are doing well and look likely to continue to do so, according to the countrys regulator.
August 28, 2012
Insurers Working to Thwart Federal RegulationInsurance companies and trade groupsboth property and casualty and lifeare pulling out all the stops in an effort to thwart or delay the Federal Reserve Boards efforts to impose consolidated regulation of them through its new authority to oversee thrift holding companies.
August 28, 2012
Insurers Working to Thwart Federal RegulationInsurance companies and trade groupsboth property and casualty and lifeare pulling out all the stops in an effort to thwart or delay the Federal Reserve Boards efforts to impose consolidated regulation of them through its new authority to oversee thrift holding companies.