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.
Regulatory Compliance Adds Partner Program
By Marlene Y. SatterRegulatory Compliance has introduced a service intended to streamline service offerings for clients in a clear, logical manner so that they can stay on top of regulatory deadlines and filings.
August 06, 2012
AIG Sees Regulation as "Big Positive"American International Group officials said Friday they are preparing for regulation by the Federal Reserve Board in addition to state regulation.
August 02, 2012
Plaze to Leave SEC as Cross Joins AgencyThe SEC announced Thursday that Robert Plaze, deputy director of the Division of Investment Management, is retiring from public service at the end of August while the SEC has named John J. Cross III the director of the agencys new Office of Municipal Securities.
August 02, 2012
SEC, FINRA Enforcement Roundup: Bristol-Myers Squibb Exec ChargedThere was an international flavor to some of the recent actions taken by the SEC and FINRA, including freezing $38 million in assets in an international insider trading case and charges involving a Chinese reverse merger company.
August 02, 2012
Why Isn’t the SEC Doing Its Real Job?Two readers identify the real problem with the SEC: it focuses on compliance with the letter of the law, rather than trying to catch the bad guys.
August 01, 2012
NAIC Wades into State/Federal Role in Health Insurance Regulation, EnforcementThe issue may not be if the federal government is running the exchanges, but if it will be the default enforcer of PPACA if the states do not pass enabling legislation.
August 01, 2012
NAIC Wades into State/Federal Role in Health Insurance Regulation, EnforcementThe issue may not be if the federal government is running the exchanges, but if it will be the default enforcer of PPACA if the states do not pass enabling legislation.
August 01, 2012
FINRA Fee Increases May Raise Sticker Price on Financial AdviceFINRAs proposed 25% increase in fees on financial service firms may become a reality within the next few months, and it is important that all financial advisors stop and take note of the potential consequences.