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’s Rominger, Director of Investment Management, to Retire in July
By Melanie WaddellEileen understood the importance of a fair and efficient investment management industry to the well-being of investors everywhere. Her practical insights and steady leadership served investors well, said SEC Chairwoman Mary Schapiro.
June 14, 2012
SRO Bill May See July Vote; SEC Gets Glint of Hope for Extra FundsDespite the fact that a late June markup of Rep. Spencer Bachus SRO bill was delayed, he still intends to move the bill forward through committee, says Dan Barry of FPA.
June 14, 2012
Waters Tries to Ice SRO BillLegislation has been proposed that would authorize the Securities and Exchange Commission to levy fees on investment advisors in order to pay for more diligent oversight of those registered as advisors.
June 14, 2012
GAO: IRS Needs to Plan Better for PPACAThe agency should decide who's going to review risk mitigation options, officials say.
June 13, 2012
A More Compassionate IRS? Agency Offers Help for Struggling TaxpayersThe IRS offers more flexible terms in its OIC program, for starters, but also help in collections and lien relief for homeowners.
June 13, 2012
Dimon on Volcker RuleJPMorgan Chase Chairman Jamie Dimon acknowledged under intense questioning 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 13, 2012
Dimon on Volcker RuleJPMorgan Chase Chairman Jamie Dimon acknowledged under intense questioning 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 13, 2012
SEC Answers Questions on Form for Advisors With Private Fund AssetsThe SEC has posted responses to frequently asked questions about the implementation of Rule 204(b)-1 and the new Form PF under the Investment Advisers Act of 1940.