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.
Scott Garrett, House Financial Services Subcommittee: The Extended 2011 IA 25 Profile
By Melanie WaddellSince taking the helm of the House Financial Services Subcommittee on Capital Markets and Government Sponsored Enterprises in January, Rep. Scott Garrett’s goals have been clear.
May 16, 2011
Eileen Rominger, SEC: The Extended 2011 IA 25 ProfileIntroducing Eileen Rominger to a room full of compliance professionals, David Tittsworth coaxed laughter from the audience when he said, “I think it’s fantastic that she’s not an attorney. She’s a real portfolio manager!”
May 16, 2011
Will the 112th Congress Repeal Dodd-Frank?The Dodd-Frank train is still on the tracks, and may be slowing down, but wholesale repeal is another matter entirely.
May 13, 2011
SEC Rule 205-3 Change to Raise Thresholds for Qualified InvestorsHedge fund, PE advisors would be most affected by proposed rule of $1 million $2 million thresholds mandated by Dodd-Frank.
May 12, 2011
CFTC Officials Meet with Prudential RepsRepresentatives from Prudential Financial Inc. met with officials from the Commodity Futures Trading Commission earlier this month to discuss overseas clearing regulations.
May 12, 2011
Phyllis Borzi, EBSA; The Extended 2011 IA 25 ProfileAs head of the Department of Labor's Employee Benefits Security Administration, Phyllis Borzi's influence on the industry is undeniable.
May 12, 2011
The Week in PicturesDodd-Frank hearings, debt ceilings, and Trump's wake-call to the brutality of Presidential politics all add up to the week that was.[][caption id="attachment_660" align="aligncenter" width="300" caption="The ...
May 12, 2011
The Week in PicturesDodd-Frank hearings, debt ceilings, and Trump's wake-call to the brutality of Presidential politics all add up to the week that was.[][caption id="attachment_660" align="aligncenter" width="300" caption="The ...