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.
A Tale of Two Regulators: What DOL Can Teach the SEC
By Bob ClarkThe DOL’s consumer orientation provides a stark contrast to the SEC’s industry concerns.
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.
July 28, 2011
SEC Considers ‘Buffer’ for Money Market FundsMoney market funds 'breaking the buck' rattle the market and frighten investors who think of the funds as a cash equivalent and safe haven from volatility. To minimize the impact, the SEC is considering establishing the equivalent of money market 'reserve requirements,' according to Bloomberg.
July 28, 2011
SEC Cites Problems in Structured Securities Sales, MarketingProcedures designed to protect retail investors from the purchase of unsuitable structured securities products might have been inadequate or missing, according to a report issued by SEC staff on Wednesday.
July 27, 2011
Pension Manager: We Still Need Credit RatingsMoves to reduce reliance on credit ratings and improve the rating process make sense, but going cold turkey may not, according to a state pension fund executive.
July 27, 2011
Pension Manager: We Still Need Credit RatingsMoves to reduce reliance on credit ratings and improve the rating process make sense, but going cold turkey may not, according to a state pension fund executive.
July 26, 2011
FINRA Levies $5 Million Fine Against SunTrust AffiliatesThe Financial Industry Regulatory Authority FINRA fined SunTrust Robinson Humphrey and SunTrust Investment Services Tuesday for violations related to the sale of auction rate securities (ARS).
July 26, 2011
George Soros to Retire, Blames Dodd-FrankLegendary hedge fund manager George Soros, perhaps best known forcing the British government to devalue the pound during the infamous “Black Wednesday” market crisis, is retiring from investing.