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.
Bachus: SEC About to Draft Fiduciary Standard Regs
By Arthur D. PostalThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 03, 2011
Bachus: SEC About to Draft Fiduciary Standard RegsThe U.S. Securities and Exchange Commission is reassigning examiners to speed up the process of writing a uniform fiduciary standard regulation, a lawmaker says.
August 02, 2011
SEC: Unclaimed Property Also an Issue for Securities BrokersThe U.S. Securities and Exchange Commission is putting the process used to record efforts to locate missing security holders up for a routine paperwork review.
August 02, 2011
Bachus Blasts SEC as ‘Flawed,’ Pushes Restructuring BillHouse Financial Services Committee Chairman Spencer Bachus, R-Ala., says he is drafting legislation to restructure the Securities and Exchange Commission.
August 02, 2011
A Tale of Two Regulators: What DOL Can Teach the SECThe DOL’s consumer orientation provides a stark contrast to the SEC’s industry concerns.
August 01, 2011
SEC: Unclaimed Property Also an Issue for Securities BrokersThe U.S. Securities and Exchange Commission is putting the process used to record efforts to locate missing security holders up for a routine paperwork review.
July 29, 2011
FINRA to Take Closer Look at Mutual Fund AdvertisingResponding to mutual fund companies that charge the regulator fails to consistently communicate new interpretations of existing advertising rules for mutual funds, FINRA says it will change its ways.
July 28, 2011
Dodd-Frank—One Year LaterWith the recent one-year anniversary of the Dodd-Frank Act on July 21, members of Congress as well as industry officials have been reflecting on the law’s effects—for good or ill.