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.
IRS High Net Worth Initiative: Fearsome Beast or Paper Tiger?
By William H. Byrnes, Robert BloinkSyracuse University study suggests IRS’ two-year-old HNW initiative may be “using more rhetoric than resources”
April 28, 2011
SEC Moves Ahead on Credit Rating ProposalMembers of the U.S. Securities and Exchange Commission have voted 5-0 to seek public comments on a proposed rule that would remove references to credit ratings from SEC regulations.
April 28, 2011
SEC's Rominger: 12b-1, Money Market Fund Reform, ETF Oversight 'Extremely Important'Eileen Rominger, director of the SEC's Division of Investment Management, said Thursday that the heavy workload under Dodd-Frank had not deterred the agency from moving forward on “extremely important” issues like 12b-1 reform and oversight of ETFs.
April 27, 2011
Dale Brown, FSI: The Extended 2011 IA 25 ProfileAfter five years of outstanding advocacy on behalf of BDs and RIAs, the pressure's on to manage FSI's future growth.
April 27, 2011
SEC, CFTC Exclude Insurance Products from Swap Definition ProposalFederal agencies are proposing swaps regulations that would exclude insurance products written by regulated insurers from the definition of the term "swap."
April 27, 2011
2011 IA 25; Fight Over Pay-to-Play; Rebuilding Japan: May Investment Advisor—SlideshowCheck out the slideshow to see highlights of May's Investment Advisor magazine, with a cover story on IA's choices for the most influential people in and around the profession—now and in the near future.
April 26, 2011
SEC, CFTC to Hold Swaps Implementation EventThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission plan to start a 2-day public meeting on the schedule for implementing new swaps rules May 2.
April 26, 2011
SEC, CFTC to Hold Swaps Implementation EventThe U.S. Securities and Exchange Commission and the Commodity Futures Trading Commission plan to start a 2-day public meeting on the schedule for implementing new swaps rules May 2.