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.
SEC to Meet Dodd-Frank's July Deadline on 'Switch,' Private Fund, Venture Fund Advisors
By Melanie WaddellThe SEC says that while it will adopt final rules by July 21 implementing three provisions of Dodd-Frank involving the “switching” of advisors to state registration, as well as private fund and venture capital fund advisors’ registration with the SEC, the agency will also lengthen the date for complying with...
May 01, 2011
You Can’t Regulate CrooksWill all the stress and cost associated with this new Part 2A make a substantial difference for the investing public?
May 01, 2011
Fair Play: The Fight Over Rule 206(4)-5On March 14, the Securities and Exchange Commission’s “pay-to-play” rule, officially known as the Advisers Act Rule 206(4)-5, went into effect.
May 01, 2011
(W)reckoning DayAdvisors have the unique ability to explain macro events to the micro client in a way they can easily understand.
May 01, 2011
Follow the Leaders: The 2011 IA 25In the nine years that Investment Advisor has published the IA 25, our editors judgment as to the 25 most influential people in and around the advisor community, weve never ranked the 25 in the order of their importance.
May 01, 2011
Follow the Leaders: The 2011 IA 25In the nine years that Investment Advisor has published the IA 25, weve never ranked the 25 in the order of their importance.
April 29, 2011
Richard Ketchum, FINRA: The Extended 2011 IA 25 ProfileFINRA doesn't have to be the only industry SRO, but according to chairman and CEO Ketchum, it'd be the best.
April 29, 2011
IRS Begins to Enforce New Rules for Tax Return PreparersThe IRS is tightening the screws on tax preparers in a concerted effort to remove those with criminal tax convictions or permanent injunctions.