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.
Dodd-Frank’s New Rules for Mid-Sized Advisors
By Thomas D. GiachettiWhen the Dodd-Frank Act was passed on July 21, 2010, the intent was to create a foundation for financial regulatory reform.
August 24, 2011
Real SEC Reform or Half Measure?Does the SEC Modernization Act have a real shot at bringing 'comprehensive reform' to the SEC?
August 23, 2011
Sircon to Acquire Kaplan ComplianceSircon has agreed to buy the assets of Kaplan Compliance Solutions from the Washington Post Company.
August 23, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.
August 23, 2011
MSRB Proposes Fiduciary Duty for Municipal AdvisorsProposed rule G-36 flowing from Dodd Frank is designed, MSRB says, to 'put interests of state and local governments first.'
August 23, 2011
New Institute for Fiduciary Standard Elevates the ConversationThe creation of the Institute, founded by Knut Rostad and a bevy of industry leaders, is the next necessary step to change the conversation about a universal fiduciary standard.
August 22, 2011
Sircon to Acquire Kaplan ComplianceSircon has agreed to buy the assets of Kaplan Compliance Solutions from the Washington Post Company.
August 22, 2011
FINRA: Save Those Tweets, Texts, Calls, Etc.Financial Industry Regulatory Authority Inc. communications record retention rules apply to all communications devices and technologies, FINRA officials say.