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.
Mutual Fund Shareholder Reports Under Scrutiny
By Arthur D. PostalAs the SEC continues its work on how investors could be getting more useful disclosures, mutual fund shareholder reports are suddenly under the microscope.
November 01, 2011
Pull the TriggerA GDP trigger is something that has an effect on the rate of GDP.
November 01, 2011
Unfinished Business: Advisors Debate Fiduciary Standard, SROAs we near the end of 2011, two of the top issues for the advisory industry remain unresolved: a fiduciary mandate for brokers and a SRO for advisors.
November 01, 2011
10 Things the SEC Won't Tell You (SmartMoney)A good deal rests on the shoulders of the Securities and Exchange Commission and, as Occupy Wall Street rages on, they're well aware of the burden.
November 01, 2011
Big Insurer Fights Back in Court Against Regulation of Profit Margin (Kaiser Health News)Maine is in the regulatory spotlight this week, as a lawsuit challenging the state's authority over health insurers' profit margins draws national attention.
November 01, 2011
Kudos to Mary Schapiro for Her Non-Action in FINRA Document CaseSometimes character is revealed by what people dont do as much as by what they do.
October 31, 2011
“I didn’t know” defense on shaky groundOnce upon a time, financial advisors who unknowingly got ensnared in investment schemes could get off by pleading, I didnt know. Those times may be over.
October 28, 2011
SEC Slapped Down in Two Cases Against BanksU.S. District Court Judge Jed Rakoff administered a mighty tongue-lashing to the SEC in a proposed settlement with Citigroup the same day his colleague on the bench Miriam Goldman Cedarbaum dismissed fraud charges against a JP Morgan executive.