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.
House Democrats to DOL: Fiduciary Reproposal Should Meet Certain Standards
By Melanie WaddellMore than 30 House Democrats sent a letter to Secretary of Labor Hilda Solis that not only thanked her for Phyllis Borzis decision to withdraw the DOLs proposed rule redefining the term fiduciary, but also set out specific areas the new rule should address when its reproposed in early 2012.
November 06, 2011
Finally, Some Good News from the DOLThanks to a new rule debuted by the Department of Labor last month, employers will gain new flexibility in offering fiduciary investment advice to participants in their 401(k) retirement plans.
November 03, 2011
Unlike Madoff, The SEC Really Went After Vesco (Forbes)Still recovering from their failed attempt to stop Bernie Madoff as he pulled off the country's biggest Ponzi scam, the Securities and Exchange Commission is attempting to regain its reputation.
November 03, 2011
Unlike Madoff, The SEC Really Went After Vesco (Forbes)Still recovering from their failed attempt to stop Bernie Madoff as he pulled off the country's biggest Ponzi scam, the Securities and Exchange Commission is attempting to regain its reputation.
November 03, 2011
Mutual Fund Shareholder Reports Under ScrutinyAs the SEC continues its work on how investors could be getting more useful disclosures, mutual fund shareholder reports are suddenly under the microscope.
November 03, 2011
Mutual Fund Shareholder Reports Under ScrutinyAs the SEC continues its work on how investors could be getting more useful disclosures, mutual fund shareholder reports are suddenly under the microscope.
November 03, 2011
SEC’s Rominger: Agency Studying Mutual Fund Shareholder Reports, Financial LiteracyThe SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says
November 01, 2011
Pull the TriggerA GDP trigger is something that has an effect on the rate of GDP.