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.
Four Steps to Restore Investor Trust, and Build Your Wealth Management Firm
By Kate McBrideMany investors have been thrown into a role they didn't seek and are unprepared to handle. The four steps advisors must take to help clients and mitigate their firms' risk at the same time.
February 10, 2011
SEC’s Fiduciary, SRO Studies Considered Linked, Experts SayAlthough the SEC’s Fiduciary Study and the SRO Study, are separate, in the eyes of some industry experts and academics that specialize in financial services issues, the two are linked.
February 09, 2011
SEC Proposes to Remove References to Credit Ratings AgenciesThe SEC voted unanimously on Wednesday to propose amendments to its rules that would remove credit ratings as one of the conditions for companies seeking to use short-form registration when registering securities for public sale.
February 09, 2011
Sen. Tim Johnson Lays Out Senate Banking Committee's AgendaSen. Tim Johnson, D-S.D., chairman of the Senate Banking, Housing and Urban Affairs Committee, says that among his Committee’s top oversight issues for the 112th Congress will be: the Dodd-Frank Act and SEC funding.
February 08, 2011
California Department Proposes Rate RegsNew California health insurance rate review regulations could help insurers determine whether regulators will think a rate increase request is reasonable.
February 08, 2011
With Lack of Funding, Congress Is 'Pulling the Rug Out' From Mary SchapiroJust as Securities and Exchange Commission Chairman Mary Schapiro is again airing complaints that the SEC’s dire funding situation is wreaking havoc…
February 08, 2011
SEC’s Aguilar Sees Need for Stronger AgencyFour ‘resolutions’ and ‘wishes’ for 2011, intended to boost investor protection and confidence in markets.
February 08, 2011
Continuing Duty of Care Under Section 913: For Whom the Fat Lady SingsA missing topic of conversation on the fiduciary issues before the SEC: defining 'continuing duty of care'