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 to Make Your Voice Heard With Regulators in Your Own Backyard
By Dale BrownA good way to engage regulators and make a difference is by participating in FINRA District Committees, as FSI member Wilson WIlliams is doing.
April 23, 2012
CBO: H.R. 4078 Could Slow PPACA ImplementationBudget analysts eye a bill that could restrict significant regulatory changes while unemployment was high
April 19, 2012
SEC Names New Investment Advisor CzarThe SEC has named Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Advisor Regulation in the Division of Investment Management. Blizzard will supervise two offices that develop recommendations for rulemaking and other policy initiatives under the Investment Company Act and the Investment Advisers Act.
April 19, 2012
SEC Names New Investment Advisor CzarThe SEC has named Diane C. Blizzard as Associate Director for Regulatory Policy and Investment Advisor Regulation in the Division of Investment Management. Blizzard will supervise two offices that develop recommendations for rulemaking and other policy initiatives under the Investment Company Act and the Investment Advisers Act.
April 19, 2012
SEC Slaps OptionsXpress Again, This Time for Delisted TradingThis is the second spate of bad news for the company in as many days.
April 19, 2012
New Hire Roundup: Solomon Named to SEC; Securities America Welcomes LindseyThis week in new hires, Matthew Solomon joined the SEC's enforcement division and John Lindsey went to Securities America.
April 16, 2012
SEC Charges OptionsXpress in Naked Short Selling SchemeThe SEC on Monday charged the Schwab-owned online options firm optionsXpress, as well as four officials at the firm and a customer, in an alleged abusive naked short selling scheme.
April 16, 2012
HHS OIG: Many Nursing Homes Lack Serious Disaster PlansInvestigators call for feds to replace recommendations with specific planning and training requirements.