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.
CFA Reverses on Advisor SRO, Frustrated Over Lack of SEC Funding
By Melanie WaddellAfter the CFA reversed its opposition to an SRO for advisors, CFA's Barbara Roper tells AdvisorOne that FINRA 'is almost certain' to play some SRO role.
July 13, 2011
EBSA Postpones Fee Disclosure DeadlineThe Employee Benefits Security Administration has pushed back the compliance deadlines for new retirement plan fee disclosure rules.
July 13, 2011
SIFMA Dodd-Frank Forum: Execs Surmise Outcome of Fiduciary RuleJuly 21 not only marks the one-year anniversary of the passage of the Dodd-Frank Act, but it’s also the date when the SEC will turn its attention to creating a fiduciary duty rule for brokers.
July 12, 2011
Barney Frank Says Dodd-Frank Is “Holding Up Well”As anniversary nears, Congressman expresses frustration that GOP is using “deficit crisis to under fund the SEC and CFTC”
July 08, 2011
Fines, Awards Slapped on JP Morgan, Fisher Investments, Merrill ClearingSEC, FINRA and private arbitration panel assess fines ranging from $376,000 to $63 million to $228 million.
July 08, 2011
DOL Agencies to Hold Regulatory Web ChatsOfficials representing seven of the DOL's agencies will host live Web chats during the week of July 11 to discuss their respective regulatory agendas
July 07, 2011
MEWA to Terminate OperationsA multiple employer welfare arrangement has agreed to shut down its operations and distribute the plan assets to the plan participants.
July 07, 2011
New Hire Roundup: SEC Advances Plaze and Blizzard; National Advisors Trust Adds ThreeRobert Plaze named deputy director in SEC's division of investment management.