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.
FINRA Rule 2111: The Broker-Dealer View
By Maria WoodCommonwealths Paul Tolley talks about the challenges of implementing FINRAs new suitability rule on the selling of securities like variable annuities.
July 01, 2012
Fed Action on MetLife Sends Stock SoaringMetLifes stock price soared more than 5 percent on June 19 as a result of a decision by the Federal Reserve Board to give MetLife more time to resubmit a capital plan that failed a stress test in March.
July 01, 2012
Dimon on Volcker RuleJPMorgan Chase Chairman Jamie Dimon acknowledged under intense questioning today that it is possible that the trades that led to a multi-billion dollar loss by the firm would have been banned if the so-called Volcker Rule had been in effect.
June 30, 2012
Fed Action on MetLife Sends Stock SoaringMetLifes stock price soared more than 5 percent on June 19 as a result of a decision by the Federal Reserve Board to give MetLife more time to resubmit a capital plan that failed a stress test in March.
June 30, 2012
Dimon on Volcker RuleJPMorgan Chase Chairman Jamie Dimon acknowledged under intense questioning today that it is possible that the trades that led to a multi-billion dollar loss by the firm would have been banned if the so-called Volcker Rule had been in effect.
June 29, 2012
SEC, NASAA to Small Businesses: Hold Off on CrowdfundingState regulators warned small businesses that they should wait until the SEC has finalized its crowdfunding rules before offering shares in their ventures for public sale.
June 28, 2012
D-Day Has Arrived for the ‘Switch’ From Federal to State RegistrationThursday marked the deadline for advisors with assets of between $25 million and $100 million under management to switch from federal to state jurisdiction.
June 27, 2012
SEC Charges Falcone, Harbinger Capital With FraudThe charges "read like the final exam in a graduate school course in how to operate a hedge fund unlawfully," the agency says.