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.
Bill Introduced to Make FINRA Self-Regulating
By Arthur D. PostalLegislation has been introduced that will lay the groundwork for the Financial Industry Regulator Authority to become a self-regulatory organization for investment advisers.
April 25, 2012
IRS Study Finds Well-Governed Charities More Tax CompliantThe IRS has maintained that a direct relationship exists between exempt organizations' good governance practices and their compliance with the tax code. Now the agency has research to back up its contention.
April 24, 2012
How to Make Your Voice Heard With Regulators in Your Own BackyardA 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
Fraudulent Families Pt. 1: SEC Settles Father and Son Hedge Fund Fraud CaseGabriel and Marco Bitran to pay $4.8 million penalty, barred from industry, for claiming a nonexistent track record for their quant hedge funds. Theres a Bernie Madoff connection as well.
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 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.