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.
Schapiro to Senate: Dodd-Frank Doomed Without More Money
By Melanie WaddellSEC Chairman warns lawmakers that the agency needs 'significant additional resources' in order to proceed with its responsibilities under Dodd-Frank.
July 20, 2011
S&P Sees Deeper Europe Bank Crisis on Fears of Sovereign DefaultAhead of summit meeting, credit agency S&P raps stress tests; European Commissioner raps credit agencies.
July 20, 2011
CFA Dodd-Frank Report: Law's Fate 'Hangs in the Balance'The CFA released a Dodd-Frank progress report on Wednesday warning that further progress in implementing the law is threatened, in part, by congressional efforts to defund regulators.
July 18, 2011
FINRA’s Suspension of Advisor for ‘Unbalanced’ Tweets Offers WarningIn a case that speaks to the limits put on social media, FINRA suspended the founder of Titan Securities for using Twitter to make "overwhelmingly positive" predictions about one of her own stock holdings.
July 18, 2011
Dodd-Frank Anniversary: Law Costs Agencies Millions, GAO SaysAt the one-year anniversary of Dodd-Frank, the GAO has released a list of 11 federal agencies' reported funding and staff resources needed to implement Dodd-Frank until 2012.
July 18, 2011
Dodd-Frank Is Providing Meaningful, Tangible Benefits to InvestorsAt the one-year anniversary of Dodd-Frank, my message to Congress is clear: Don't weaken the law's critical investor protections.
July 15, 2011
IRS Warns of Tax Scams by Unscrupulous PromotersThe IRS has a warning for taxpayers: 'If it sounds too good to be true, it probably is.'
July 15, 2011
Confusion About New FINRA Rule Requiring Back-Office Staff Exams—Compliance WatchTwo areas of uncertainty remain for BDs regarding FINRA's new rule requiring operations personnel to take a FINRA exam: which personnel must take the exam and which exam they will take.